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Compliance Monitoring Manager

Compliance Monitoring Manager

• Coordinate and drive appropriate regulatory monitoring and testing activity across the Group

• Coordinating and drafting risk-based compliance and regulatory reports for submission to Management Risk Committee.

• Build and maintain relationships with the 1LoD local divisional compliance/regulatory risk teams and to provide them with support and advice, and challenge, on regulatory matters and in respect of the identification and management of their regulatory risks and controls - consistent with the Group's policies - to enhance the development of practical but effective controls.

• Ensuring that significant risks are promptly escalated to the GCM.

• Identifying and managing compliance, and regulatory risks, developing solutions and assisting the business in its responsibility to implement solutions.

• Supporting all second line of defence activities.

• Keeping up to date with FCA and PRA regulations affecting the business.

Process Improvement

• Identifying and providing analysis of compliance integrity issues, common errors and procedural limitations to enhance operational performance and minimise risk.

• Introducing and maintaining an on-going review of relevant processes to ensure consistency across compliance activities.

• Challenging and amending existing practices and processes and introducing new process where required.

• Drafting and updating compliance policy and procedures as and when required.

• Supporting and/or leading Compliance function projects as required.


• Experience working in a Compliance Team, with clear subject matter expertise

• Ability to provide compliance leadership in the business, culturally and professionally.

• Banking / mortgage compliance monitoring and testing experience.

• ICA/IFS or similar compliance/financial services qualifications.

• Strong initiative with excellent problem solving skills.

• Good team player and able to work on own initiative.

• Proven ability of establishing strong, effective working relationships at all levels.

• Strong organisation, accuracy and attention to detail.

• Strong communication and interpersonal skills.

• Strong sense of urgency and dedicated work ethic.

• Ability to think logically in challenging and diverse situations.

• Ability to work under pressure and to tight regulatory and internal deadlines.

Salary: £70000 - £80000 per year | Job Type: Contract | Posted: 23/03/2017