Job Description
S Posted byRecruiter Ref: 4023G £70K - £80K + Good Benefits Hybrid (West End) Our client, a boutique wealth manager and part of a larger global banking Group, is looking to recruit apliance Monitoring Manager. You will be responsible for the delivery of the annualpliance monitoring programme by planning and leading agreed monitoring activities. Reporting to the Seniorpliance Assurance Manager, duties will include; Providing input into the annualpliance Risk Assessment Process and annualpliance Monitoring Programme and actively keepingpliance risks under review. Leading moreplex assignments, which may include overseeing the quality other team members contributions. Working 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. Mentoring less experiencedpliance team members and deputise for the Senior Manager when required. 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. Preparing and assisting with the delivery of relevant reporting and MI to inform Management of thepliance risks and their status. Supporting the Head ofpliance with information for reports to the Audit Risk andpliancemittee, Management Group, Board and the wider Group as required. Ensure departmental logs and thepliance Monitoring Programme are maintained and up to date and that they are appropriately risk rated in line with process. You should have gained at least 5 yearspliance monitoring experience with an ACD, Asset or Wealth Management firm (or apliance Consultancy covering such), with a solid knowledge of regulatory processes & requirements within the wealth/investment management sector and thorough understanding of the FCA Rules especially around Collective Investment Schemes. This is an excellent opportunity to advance yourpliance career with one of the fastest growing wealth management businesses in the UK and to work with and learn from some of the most experiencedpliance and risk professionals in the city. The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge Job ID 4023D