The Compliance Monitoring Manager will:
- Assist in the completion of effective risk assessments to drive the UK ( European for Capital Markets) Compliance Monitoring Plan;
- Under the stewardship of the Head of Compliance Monitoring, Europe: o Lead and deliver timely and accurate compliance monitoring reviews that opine on the adequacy of 1st and 2nd line systems, controls and processes to manage Regulatory and Conduct risk; Work with Compliance and business colleagues to track and advise ( where appropriate) on the appropriateness of actions plans to resolve issues identified during monitoring reviews;
- Contribute towards the continual enhancement of the monitoring approach and annual monitoring program (including providing ideas for developing/improving the approach to continuous business monitoring and, where relevant, enhancing the existing Enterprise Monitoring and Testing control standards);
- Assist in the delivery of timely responses to internal audit and external regulatory enquiries; and
- Support ad-hoc projects and activities as required (methodology improvements; stakeholder management; committee reporting).
Please note our advertisements use PQE/salary levels purely as a guide. However we are happy to consider applications from all candidates who are able to demonstrate the skills necessary to fulfil the role.