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COMPLIANCE MONITORING MANAGER – AML OR COBS MONITORING EXPERIENCE  (MORTGAGE OR SECURED LENDING) REQUIRED

£45K - £48K + Benefits + Bonus | Kent   
Ref: 3409R

UK & Ireland / Compliance (inc Conduct Risk/COBS) / Permanent

 
 
Our client, a leading financial services firm, is seeking to recruit a Compliance Monitoring Manager. The role holder will need to undertake some travel from time to time to undertake monitoring duties. Responsibilities will include:
 
• Planning, execution and reporting against the client’s Compliance Assurance Plan, retaining appropriate records and providing concise, and timely, written and verbal reports highlighting key issues and recommendations for improvement action.
• Agreeing and recording operational management responses to recommendations, tracking progress and conducting proportionate validation on an appropriate basis.
• Assisting in relation to its support of investigations into Compliance related incidents/breaches and the provision of compliance advice on identifying appropriate remedial actions.
• Undertake regular desk based monitoring of management information to ascertain emerging compliance related risks and providing feedback and advice to the business on areas identified as requiring improvement.
• Assist in the preparation of Compliance Reports including the Board, Audit Committee and Operational Committees of the client
• To contribute the development of policies, procedures and standards.
 
The ideal candidate will have experience of compliance monitoring within retail financial services with knowledge of financial crime regulations (e.g. AML, KYC, ABC, Transaction Monitoring, Cyber Security or Fraud), whether gained in a similar in-house role, a consultancy or the regulator.
 
For further information or a confidential no obligation discussion, please feel free to call David Crook on 020 7330 6963 or send your details to him at dcrook@compliancerecruitment.com 

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