Compliance Monitoring Manager

Broadgate Search Ltd
Reedley, UK
Closing date
26 Sep 2020

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Contract Type
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  • Developing and maintaining the compliance monitoring plans;
  • Own and undertake the annual compliance risk assessment used to inform and drive the Compliance Monitoring Plan;
  • Conduct compliance reviews to ensure adherence with regulations;
  • Producing management reports identifying areas not compliant with policies and framework;
  • Undertake compliance risk assessments;
  • Own and ensure that all tests detailed in the Compliance Monitoring Plan are completed on schedule, to the required compliance standards and appropriate records are maintained;
  • Conduct off-site visits to complete testing and other tasks, liaise with all outsource functions and Divisions on remedial actions needed and ensure re-testing is completed on an agreed schedule and to robust standards;
  • Be responsible for and ensure all compliance monitoring is tracked and monthly reports are provided, including a commentary on progress, for inclusion in monthly Compliance reports to the Board and ARC committee;
  • To provide feedback to relevant business owners to ensure they are aware of how compliant their business is and, where weaknesses are identified, to agree appropriate corrective actions which have specified owners and timescales for delivery;
  • To monitor and track corrective actions and to provide sign-off where these have been completed satisfactorily;
  • To assist in providing agreed monthly Management Information to the Management Team to ensure they are kept appraised of progress against the plan, with key issues identified and corrective actions agreed; and
  • Maintain documented procedures for conducting monitoring activities set out in the plan.

  • Excellent understanding of regulations including CONC, MCOB, T&C, SYSC, DISP, PRIN, PERG, SUP, CCA and DPA;
  • Excellent horizon scanning and research skills and the ability to interpret regulation;
  • Must have experience of working in a relevant, senior compliance monitoring role;
  • Ability to translate complex regulatory rules/ findings into everyday language;
  • Ability to confidently and clearly communicate findings and escalate issues;
  • Is skilled in the interpretation and use of management data and information;
  • Able to identify gaps and problems in existing practices and implement solutions;
  • Demonstrable influencing skills and ability to implement through key stakeholders;
  • Ability to build strong relationships with all areas and promote a compliance culture;
  • Good organisation skills, with the ability to prioritise and take ownership of issues;
  • Can provide independent challenge to senior stakeholder's thinking, approach and decisions.
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