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Senior Compliance Monitoring Manager

Senior Compliance Monitoring Manager


Position: Senior Compliance Monitoring Manager

Salary: Up to £73.8k + up to 40% bonus

Location: Hybrid, Bristol (On site once a month)

Contract: Permanent, full-time

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Overview

Reporting to the Group Head of Compliance Monitoring, the Senior Compliance Monitoring Manager will take the lead in managing a team in the Group's Compliance Monitoring function, within the Group's Risk and Compliance Function reporting through to the Compliance Director and in turn the Group Chief Risk Officer, as a member of the Group Executive Committee. Working in harmony across the "Regular" and "Thematic" Monitoring Teams to deliver high quality compliance-focused assurance and challenge. The role and team exists to meet regulatory requirements of Compliance Monitoring.

You will manage a team, who provide assurance and challenge to the business on its compliance. You will be responsible for monitoring and testing the controls the business has implemented to ensure that it is effectively complying with applicable rules and principles. It operates across all the entire range of our regulated entities, products and services.

Working pattern

We are looking for Senior Compliance Monitoring Manager to join our compliance team. This role is permanent, full time, 37.5 hours per week, Monday to Friday. We have returned to the office, however for this role we offer a hybrid flexible working pattern to enable you the option of working from home and coming into the office.

Role Accountabilities

Delivery of the Group's Compliance Monitoring Plan
Line management of a small number of compliance monitoring professionals
When required, undertaking monitoring reviews or leading the team on reviews
Challenging SMFs and senior leaders (verbally and in writing) on the results of monitoring
Contributing to the development of the Compliance Monitoring function in terms of methodology, process and procedures
Contributing to and offering thought leadership to Compliance Monitoring offering suggestions leveraged from experience
Maintaining appropriate processes for monitoring and overseeing the work performed by action owners to address deficiencies raised through monitoring
Managing the delivery of continuous improvement for the monitoring processes
Designing, producing and distributing appropriate management information for key stakeholders
Working with co-source partners to deliver reviews where industry insight or specific SME knowledge is required
Working with or alongside Risk Assurance colleagues to achieve integrated 2 LOD assurance
Deputising for the Group Head of Compliance Monitoring
Attending relevant Committee meetings to report on the progress of the thematic plan, the results of monitoring activities and the status of open and overdue management actions
Building and maintaining strong relationships with senior managers across the first, second and third lines

Skills and Experience

Experience in a risk and compliance roles in a relevant FS sector, with demonstrable experience of delivering and management responsibility of an effective Compliance monitoring or assurance programme
Extensive knowledge of the regulatory environment and the three-lines of defence model
Comprehensive knowledge and understanding of FS products and markets; of UK and European financial services regulation and policy environment and regulatory processes; and of the business'.
Skilled at communicating issues simply and challenging effectively
Accomplished in forging effective relationships with colleagues at all levels, skilled at influencing, negotiating, and managing challenging conversations with ease.
Solution focused mindset, able to use your own experience to develop innovative solutions and resolve complex issues
Proven team management experience - able to communicate, delegate and collaborate to achieve optimum team results
Experience of working in a changing environment, striving for continuous improvement
Hold or be working towards industry relevant professional qualifications

What's on offer?

What's on offer?

Discretionary annual bonus & annual pay review
25* days holiday plus bank holidays and 1-day additional Christmas closure time
Option to purchase an additional 5 days holiday per year
Flexible working options available, including hybrid working
Pension scheme up to 11% employer contribution
Sharesave scheme - have a real stake in our future
Income Protection & Life insurance (4 x salary core level of cover)
Health care cash plans - including optical, dental, and out patientcare
Help@hand and an Employee Assistance Programme
Gympass - gym memberships and wellbeing apps available
Variety of travel to work schemes with free bike storage and shower facilities
An inhouse barista serving subsided coffee and snacks
Join our sports, I&D networks and volunteering groups (two paid volunteering days per year)
LifeWorks Discounts on services, restaurants and retailers

* Up to 30 days depending on role level & increasing with length of service

Please note, the company is unable to provide employment sponsorship to candidates.

Interview Process

Two stage process, including a task

Job Specifications

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This is a full-time job. Working hours may be between 8 am to 6 pm.

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