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Interim Compliance Monitoring Manager

Finance Network
Bristol, United Kingdom
Inside IR35
Closing date
Apr 1, 2023

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Job Function
Industry Sector
Finance - General
Employment Type
Full Time

• Planning, scoping and conducting regular monitoring independently to a high quality

• Conducting root cause analysis of issues identified, addressing these with management to agree next steps and then track appropriate management actions to closure per the agreed target date

• Providing critical feedback and challenge to managers at all levels.

• Contributing towards the continuous improvement of the Compliance Monitoring function, its processes, controls and methodologies

• Building and maintaining strong relationships with senior managers across the business

• Supporting the ongoing maturity of the firm's approach to governance, risk management, and compliance through effective control assurance.

• Where required, working with third party co-source providers to leverage external expertise and industry insight


• Experienced in compliance, risk or audit roles in a UK Asset, Platform &/or Wealth Management market

• Experience of compliance oversight/assurance activity, risk assurance or internal audit

• Relevant governance, risk management and control expertise

• Relevant knowledge of the regulatory environment

• Stakeholder management and engagement

• Understanding and experience of the three lines of defence model

• The ability to communicate issues and challenge effectively

• Comprehensive knowledge and understanding of Asset Management/Wealth Management products and markets; of UK and European financial services regulation and policy environment and regulatory processes

• Excellent communication skills to explain / interact / engage / influence with and between stakeholders (internal)

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