Compliance Monitoring Manager
To provide on-going management and support to the Field and Desk-based Compliance Teams in order to deliver approved compliance monitoring plans for the Countrywide Financial Services business units and support the management of the Conduct Risk Framework.
To provide support and guidance to the company on all areas of Countrywide FS compliance monitoring activity.
To manage work relevant to the teams, as required.Key Responsibilities
- Provide on-going management and supervision to the Field and Desk-based Compliance teams to ensure timely delivery of all monitoring activity to an appropriate standard.
- Assist in the development of Field and Desk-based Compliance team members, as appropriate, by providing support, feedback and coaching in all aspects of their job roles.
- Assist and support the Head of Compliance as required in order to support the delivery of a robust Compliance Monitoring Framework and controls.
- To ensure that appropriate compliance monitoring procedures are in place and that they remain fit for purpose, in line with regulatory requirements and changes.
- Co-ordinate and oversee Field monitoring activity in line with the CPS Compliance Monitoring Plan and agreed targets, reporting findings and recommendations to senior management.
- Co-ordinate and oversee effective Desk-based monitoring activity to ensure Conduct Risks are appropriately monitored and escalated.
- Co-ordinate and manage investigations into acts or allegations of misconduct and report findings in line with departmental procedures.
- Provide advice and guidance for internal and external stakeholders on compliance-related process issues.
- Assist in the collation, production, analysis and monitoring of MI, reporting compliance and regulatory risks and issues to FS senior management.
- Have sound awareness and understanding of FS compliance control environment and systems and provide advice and guidance on any compliance related issues or impacts relating to these controls.