Monitoring Manager
Full Job Description
The role holder will devise, manage and complete the annual Compliance Monitoring programme in a timely manner, reporting to the Head of Compliance on progress, and work with other members of the Compliance team who may undertake monitoring activity.
1. To prepare an annual risk-based Compliance Monitoring programme under guidance from the Head of Compliance, regularly review it and update the board on progress
2. To deliver the ongoing compliance monitoring programme providing timely and accurate reports to the business, Head of Compliance, Risk Committee and Board
3. To maintain working papers and monitoring files in a manner which evidences the activity undertaken, and issues raised within the reports.
4. To possess a technical appreciation of the business being controlled and maintain a good understanding of the FSA rulebook and other regulatory requirements
5. To remain up to date with all regulatory developments and assess the implications forthe business and where appropriate recommend and implement changes including update of monitoring plans
6. Where relevant, to review all marketing and advertising to ensure all such items comply with the FSA requirements on Financial Promotions and Treating Customers Fairly principles
7. Where identified during compliance monitoring, to ensure all breaches and incidents are recorded by the business and resolved in a timely manner.
Essential Qualifications:
Minimum 5 years experience in compliance and working within FSA regulatory framework
Relevant professional qualification or willingness to study for required qualification
Preferred Qualifications
None required but individual must express willingness to study for required qualifications where identified as a result of business or regulatory change
Essential Knowledge-expertise
Knowledge of regulatory requirements especially, but not limited to, the Financial Services Authority or other Regulators.
Knowledge of Client Assets, Custody, Dealing, and related technical aspects of the Securities - Asset Management - Stockbroking sectors
At least 5 years experience in the financial services industry, within a compliance environment.
Report writing, time management, good people management and team working skills
Preferred Knowledge-expertise
AML rules and regulations.
Registration work and Employee Share Plan work would be useful but not immediately essential.
Good background in computer literacy and knowledge of Microsoft Word-Excel.
Our client is a global name in the financial services world
Competitive basic + benefits + discretionary bonus
Where specific UK qualifications are required we will take into account overseas equivalents.
Please quote Michael Page reference when applying Job ref:MPGX13251955
Michael Page International is a world leading recruitment consultancy.
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