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Senior Compliance Monitoring Manager

£60000 - £70000

I am currently working with one of my valued Retail Financial Services clients based in Yorkshire on their search for an experienced Compliance Monitoring professional to join the business on a permanent basis. Ideal candidates will have significant experience overseeing complex monitoring functions, and a strong understanding of all relevant sections of the FCA Handbook including the key aspects of BCOBS, COBS, ICOBS, MCOB including sales process, and the key elements of SYSC/FIT/APER.

  • Development and delivery of a sound compliance monitoring that focuses on, but not limited to, the FCA’s Handbook and measurement of fair outcomes for our customers
  • The delivery of the Compliance Monitoring plan for your assigned clients.
  • Inspire and engage through role modelling the values and behaviours within your team across clients.
  • The identification of best practice standards for compliance with regulatory requirements.
  • Develop and communicate the Compliance Monitoring Plan for your assigned clients.
  • Contribute to the development and maintenance of working relationships with key contacts in Society, Audit and Compliance contacts within the subsidiary firms regulated by FCA
  • Reporting to management on levels of compliance through specific monitoring activity, or through regular reporting to management committees (e.g. the Board Audit Committee, Exco, Main Board)

Please get in touch With Richard Miller to discuss further.


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