Compliance Monitoring Manager (Digital & Analytics)

16 May 2018
15 Jun 2018
Contract Type
Full Time

Compliance Monitoring Manager (Digital & Analytics)

3-6 Month contract

Hove with travel to London

Legal & General

£Very Competitive

We currently an exciting opportunity for an experienced Digital Compliance Manager to join a team in Hove. The role will involve travel to London but will have the option of occasionally working from home.

As a Senior Digital Compliance Manager you will lead, shape and implement the digital and analytics capability in the second line monitoring team. The role-holder will be expected to perform risk assessments, deliver outputs to a high level of quality and provide digital and analytics leadership and coaching to the second line Conduct Risk team.

Principal Accountabilities:

  • Innovate, shape and lead the Compliance Monitoring functions capability with respect to the oversight of first line of defence activity, using digital and system analytics capability. Strategies should incorporate one-off and ongoing oversight activity, enabled / undertaken through technology.
  • Develop new approaches and implement new technologies to assess first line of defence customer activity, focussing on potential customer harm, potentially vulnerable customers and regulatory compliance.
  • Direct and manage high quality monitoring reviews, including thematic work, to assess the standards of compliance with the requirements on regulatory requirements, including customer outcomes. Ensure that timely and effective remedial actions are identified where required and that an appropriate mechanism is in place to escalate and address outstanding and overdue actions. Particular emphasis to be on using technology to deliver results and insights, which traditional approaches do not all enable
  • Undertake significant initiatives and projects as directed by the Monitoring Director to ensure that regulatory requirements are met or in response to business critical factors, ensuring that such projects and initiatives are delivered effectively and within agreed timescales
  • Monitor regulatory priorities and contribute to planning, and incorporating those priorities into the risk assessment approach.
  • Working with the Compliance Monitoring Director, substantially evolve our approach to performing and reporting regulatory compliance reviews, coaching and developing team members on the journey.
  • To take the lead in all matters with regard to the management of employees, contribute to the management of the Monitoring function, ensuring that management discretion is used in a consistent manner and that the area follows the Group's policies and procedures including the Partnership Agreement to maximise business performance.

Essential Knowledge:

  • In-depth knowledge and ability to deploy technology which perform, for example data analytics and voice analytics; experience of working with a wide range of analytical tools and techniques
  • Understanding of Financial services, preferably the Insurance, including Pension and Asset Management industries
  • Strong understanding of regulatory requirements and regulatory risk management, particularly from a conduct perspective
  • Good understanding of other risk management principles and practices, such as operational / enterprise risk management
  • Previous similar or transferrable experience in a Financial Services firm or Professional Services firm required

Essential skills:

  • Ability to lead, train, coach, and influence a team of Consultants so that the methodology is adhered to and standards and timescales are met.
  • Ability to analyse and interpret complex information/situations effectively to draw conclusions and propose well-reasoned guidance.
  • Ability to lead and supervise Consultant interviews and conduct debriefs with senior management.
  • Confident in making regulatory judgements but recognises where decisions may be outside own limits and proactively seeks the necessary authority. Involves others in the decision making process to get a variety of inputs.
  • Advanced written and verbal communication skills. Expectation that reports will be final quality checked and accurate before presenting to the Monitoring Director.


  • Degree level or equivalent experience
  • Professional Financial qualification desirable

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