Risk and Compliance Monitoring Manager

Professional Recruitment Ltd
19 Mar 2017
18 Apr 2017
Contract Type
Full Time

An extremely well reputed wealth management organisation in central Bristol are looking to appoint a highly credible Risk and Compliance Monitoring Manager to own and manage the companies compliance monitoring programme and provide second line risk oversight.

Key responsibilities will include the following:

  • Managing a small team that is responsible and accountable for conducting assigned regulatory/compliance monitoring activities successfully, to provide assurance on the effectiveness of the regulatory controls.
  • Own the second line risk monitoring programme, including control self-assessments and delivery of the risk monitoring/review activities. Providing primary contact for 1st line risk officers.
  • Maintaining an excellent understanding of Compliance & Risk processes along with keeping up to date with the industry standards and to have an in-depth knowledge of the FCA regulatory requirements.
  • Own the control self-assessment process, and work with the first line risk managers to ensure any gaps/weaknesses identified are rectified to adequate standards and in a timely manner.
  • Responsible for ensuring that all group compliance and risk monitoring action plans are in place to satisfactorily remediate any issues identified. Target dates should be agreed for action completion.

The successful candidate for this post will possess superior compliance and risk experience from within the financial services sector. Knowledge of pension and investment products would be ideal with a solid understanding of FCA handbooks such as CASS/COBS. This person will have exemplary communication and interpersonal skills, the ability to communicate with a variety of stakeholders and must be confident in providing feedback and making recommendations.

This is an exciting opportunity to work for a business which prides itself on its relaxed and very friendly culture where development and growth is encouraged.