Compliance Monitoring Manager
Our client, a Global Financial Institution is looking for a Compliance Monitoring Manager to provide guidance and advice on all aspects of monitoring activities across private banking business. The individual would help to develop and maintain regulatory standards to enhance and protect the reputation of the firm.
Duties include:
- Provide regulatory advice related to products, services and clients to address the risks associated with private banking business.
- Be responsible for all aspects of compliance monitoring, including implementation of best in practice standards, policies and procedures and the provision of compliance advice across private banking business.
- Lead and manage the preparation of compliance risk assessments and an efficient run of Compliance Monitoring plan.
- Carry out preparation and fieldwork in respect of monitoring and review work.
- Prepare reports for the key stakeholders of the outcome of compliance monitoring programme performance and review work.
- Monitor changes in regulatory and market developments and ensure that appropriate actions are taken to address potential impacts for the private business.
- Deliver and execute compliance monitoring plan in accordance with internal group standards.
- Monitor the progress of operational and regulatory risk linked to the business and resolve issues when necessary.
- Liaise with local advisory team and support senior management.
The successful candidate will ideally have a private banking, wealth management or asset management background and demonstrate a strong understanding of compliance monitoring activities in addition to current regulatory developments. You will possess excellent communication and interpersonal skills and demonstrate the ability to deal with Senior Management in the UK and Abroad.
If you are interested in this opportunity, please email your C.V. to rose@altussearch.co.uk or call Rose Akel on 020 7430 1831 for a confidential discussion.
Altus Search Ltd is acting as an employment agency in relation to this role.
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