Compliance Monitoring Manager - FCA

Compliance Monitoring Specialist - FTC - Berkshire

Monitoring of compliance with legal and regulatory requirements relating to the Financial Conduct Authority (FCA) regime.

As part of the overall compliance monitoring plan, the role focuses on conducting monitoring of business adherence to internal policies, processes, legal and regulatory requirements; track action items to resolution; assist in providing appropriate management information and reporting on compliance risks and issues.

Experience required

• Ability to provide robust independent assurance on the effectiveness of compliance controls in the 1st/front line operational business and the fairness of customer outcomes, through conducting (and reporting upon) ongoing testing and monitoring through various activities, such as call listening and sample testing.
• Ability to independently assess the effectiveness of current1st/front line QA monitoring.
• Ability to identify and communicate any corrective actions required, as well as suggestions for continuous improvement.
• Explore any potential risks and issues to establish potential causes and to identify and report upon the regulatory, customer, reputational and financial impacts.
• Ability to communicate (verbal and written) complex and difficult messages effectively to different audiences tailoring the approach to suit audience needs.
• Ability to influence stakeholders demonstrating personal resilience in challenging circumstances to achieve positive outcomes.
• Ability to highlight shortcomings and suggests improvements in current processes, systems and procedures as part of the compliance monitoring activity.
• Support and work internally with multiple departments to address compliance challenges.
• Establish credible compliance relationships with a network of stakeholders.
• Analyse and report upon key themes and trends in accordance with the compliance monitoring activity.
• Ability to review/analyse, understand and apply legal and regulatory obligations.
• Provide input into the development of compliance controls and procedures for operational areas within the business, then monitor the implementation of those procedures to comply with regulations.
• Review policies, procedures and practices to ensure they deliver compliance with applicable laws and regulation.
• Ability to work independently to plan, organise and prioritise activities to efficiently meet business objectives.
• Work well under pressure, be flexible and comfortable with ambiguity, and manage several tasks at the same time working to tight deadlines.
• Be a team player willing to support and assist other team members.
• Skills Required
  • Strong communication and interpersonal skills are essential; a people person skilled at building and maintaining relationships both internally and externally
  • Proficient user of MS Office 365 applications (Outlook, Word, Excel, PowerPoint, Planner and Teams).
    
• Preferred
  • Degree qualified (preferably accounting or legal).
  • Experience in Compliance within a regulated financial services institution, a regulator, or in the telecommunications industry.

Project People is acting as an Employment Agency in relation to this vacancy.