April 30, 2024

Compliance Monitoring Manager

A Wealth Management business is looking to recruit a Compliance Monitoring Manager to join their business.

Main Responsibilities

  • Assist in the delivery of the annual compliance monitoring programme by undertaking agreed monitoring activities to a high standard and delivering results in a timely manner.
  • Mentor less experienced compliance team members.
  • Work proactively to identify control gaps and weaknesses, determine root cause, and escalate and propose viable solutions to the risks and weaknesses identified, working to mitigate risk.
  • Agree action plans with the business as a result of monitoring work and follow up with the business to ensure identified risks are adequately mitigated and closed in line with agreed action plans and for evidencing and recording rationale for closure. Highlight any delivery concerns.
  • Provide input into the annual Compliance Risk Assessment Process to inform the annual Compliance Monitoring Programme and actively keep compliance risks under review.
  • Monitor regulatory developments and maintain an up to date knowledge of current issues and future trends and their likely impact on the company’s risk profile and activities.
  • Assist in training and educating the business on compliance matters of relevance.

Job Requirements: 

  • At least 5 years Compliance Monitoring experience, ideally within a Fund Management firm.
  • Funds knowledge, UCITS and similar funds essential.
  • ACD knowledge, preferred.
  • Strong knowledge of the FCA handbook, in particular CASS and COBS.
  • Excellent IT skills.
  • Strong communication skills, comfortable working with all levels of staff across the business.
  • Professional qualifications, preferable.

Unless otherwise stated, candidates must have the right to work in the UK. 

The CLARC Guarantee – we 100% guarantee that your CV will never be sent to a client without your prior expressed permission so all of your details are totally secure with us. Please note due to the volume of applications we sadly cannot reply to every application we receive and only successful applications will be contacted, however your details will be registered for consideration for more suitable opportunities as we get them.

Apply for this role through this job post or email an application to jobs@clarcrecruitment.com

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