Senior Compliance Monitoring Manager
A leading banking group require a Senior Compliance Monitoring Manager to join their Compliance Monitoring team. The role will be based in Birmingham. The role will focus upon the groups retail and commercial banking divisions. The role offers excellent scope for development for even the more experienced professional due to a new UK monitoring plan being designed and embedded in to the business, one which the successful applicant will have a hand in helping to design for their business area.
Your main responsibilities will include;
Developing a risk based Compliance Monitoring Plan;
Leading a team to plan and undertake a wide variety of thematic, risk based reviews together with reviews focusing on the standard of internal controls;
Identifying risk issues that impact the business;
Reviewing and analysing a wide range of records and information relating to the bank’s processes through leading the team to complete a series of desk-based and physical audits;
Testing internal procedures against FCA regulations and the Group’s policies and procedures;
Reporting issues/risks and recommending potential solutions in written reports.
The ideal candidate will have;
Good technical knowledge of products and services offered in Commercial and/or Retail Banking
Good working knowledge of the regulatory environment, rules and requirements in which the business operates
Previous experience of Internal Audit, Operations Risk and Internal Control or Supervisory reviews/checking, would be advantageous
Availability to undertake the travel required for this role, i.e. Full driving licence and ability to undertake UK travel with some overnight or short stays away from home
A track record of gaining an understanding of customers' needs and delivering excellent service
A comprehensive understanding of the regulatory frameworks and compliance requirements associated with financial services and experience of working within these
To find out more about this opportunity please call Stephen Borner on 02034650110
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