Senior Compliance Monitoring Manager - Wealth
- Lead the compliance monitoring and thematic review teams
- Implement, manage and keep under review a Compliance Monitoring & Thematic Review framework
- Stay abreast of developments in FCA rules and good practice to ensure the Compliance Monitoring & Thematic Review framework remains fit for purpose
- Assist in the management of the wider compliance and governance teams
- Produce accurate and timely Management Information and reports for presentation at relevant boards and committees
- Ensure the team delivers daily, weekly, monthly and quarterly monitoring tasks
- Manage the compliance monitoring process and ensure reviews are conducted on time according to the agreed compliance monitoring programme
- Enhance and further develop monitoring tasks specifically in respect of Anti Money Laundering and Market Abuse
- Relevant Compliance Monitoring experience preferably gained within a Wealth or Investment or Asset Management environment.
- Strong understanding of industry practices and disciplines ideally having implemented and developed Compliance Monitoring frameworks in the past
- Working knowledge of FCA rules and Sourcebooks and good understanding of the emerging regulatory landscape Excellent stakeholder management skills at all levels of the organisation
- Good communication and report writing skills.