Compliance Advisor
An exciting opportunity has arisen one of the UK and Europe's growing Compliance Monitoring Surveillance team. They are looking for a highly motivated Manager, who will be a part of a team that has responsibility to serve as a strategic partner providing assurance that the UK business adequately manages its regulatory risk exposure in line with Risk Policies and Business Standards and that the policies and controls in place to manage these risks operate effectively.
OUTCOMES
Lead independent second line risk-based monitoring, themed reviews and ad-hoc reviews of procedures, business and compliance processes to identify and escalate potential gaps in adherence to applicable laws, regulations, regulatory guidance and Group policy
• Lead the drafting of terms of reference for themed reviews, reports and track issues to closure
• Oversee the performance of risk-based surveillance to confirm that first line compliance controls are operating effectively
• Lead development of surveillance and monitoring activities
• Assist in development and implementation of automated solutions for Compliance Monitoring
• Build strong relationships with and provide support to other Compliance team members
• Establish and maintain constructive relationships within relevant business areas
QUALIFICATIONS
Tertiary qualification or equivalent
KNOWLEDGE
• Prior experience of the investment management business model
• FCA rules
• Compliance monitoring
• Committed and hard working highly motivated self starter with a proactive approach
• Able to work individually as well as part of a team and with minimal supervision
• Able to see through projects through to the end
• Able to think outside the box; as well as tick the box
• Happy dealing with a heavy workload and managing a broad range of tasks
• Meticulous attention to detail, efficient and organised
• High degree of discretion and confidentiality in dealing with sensitive information
If you are interested in the position, please contact Kathryn Quicke at Hays on 020 3465 0110
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