Compliance Assurance Manager
Our client, a leading Financial Services provider, currently seeks a Compliance Monitoring Manager with Pensions Investment experience to join their team in London.
The Compliance Monitoring Manager is responsible for ensuring the business works in accordance with the Company and Regulatory framework and is compliant with the policies and rules, this will also include the training of staff.
The role of Compliance Monitoring Manager will be involved in the following;
-Conduct regular reviews across various areas of the business including desk based reviews
-Complete compliance assurance reviews which include pre-review planning, collation and analysis of business MI, tracking actions and escalation
-Raise awareness and provide guidance on compliance requirements and standards
-Research of rules and regulations and ensuring that literature is updated and maintained
-Work with the Compliance Assurance Director on escalating issues
As the Compliance Monitoring Manager you will have experience of working in a compliance monitoring role with pensions and investment experience in a compliance function. You will have experience of analysing FCA rules and interpreting them for various areas of the business. The role requires you to have knowledge of regulatory issues facing Life, Pensions, Health & Benefits and Investments industry.
Ideally you will have financial service compliance qualification such as ACII, APFS, ICA Adv.Cert.
If you have similar experience to that outlined above and are looking for a permanent opportunity within a progressive and dynamic environment, please forward your CV today.
Randstad Financial & Professional encourage applications from individuals of all ages & backgrounds. Appointment will be made on merit alone but candidates must be able to demonstrate their ability to work in the UK. Randstad Financial & Professional acts as an employment agency for permanent recruitment & an employment business for temporary recruitment as defined by the Conduct of Employment Agencies & Employment Business Regulations 2003
The Compliance Monitoring Manager is responsible for ensuring the business works in accordance with the Company and Regulatory framework and is compliant with the policies and rules, this will also include the training of staff.
The role of Compliance Monitoring Manager will be involved in the following;
-Conduct regular reviews across various areas of the business including desk based reviews
-Complete compliance assurance reviews which include pre-review planning, collation and analysis of business MI, tracking actions and escalation
-Raise awareness and provide guidance on compliance requirements and standards
-Research of rules and regulations and ensuring that literature is updated and maintained
-Work with the Compliance Assurance Director on escalating issues
As the Compliance Monitoring Manager you will have experience of working in a compliance monitoring role with pensions and investment experience in a compliance function. You will have experience of analysing FCA rules and interpreting them for various areas of the business. The role requires you to have knowledge of regulatory issues facing Life, Pensions, Health & Benefits and Investments industry.
Ideally you will have financial service compliance qualification such as ACII, APFS, ICA Adv.Cert.
If you have similar experience to that outlined above and are looking for a permanent opportunity within a progressive and dynamic environment, please forward your CV today.
Randstad Financial & Professional encourage applications from individuals of all ages & backgrounds. Appointment will be made on merit alone but candidates must be able to demonstrate their ability to work in the UK. Randstad Financial & Professional acts as an employment agency for permanent recruitment & an employment business for temporary recruitment as defined by the Conduct of Employment Agencies & Employment Business Regulations 2003