Interim Compliance Manager

Trades Workforce Solutions; United Kingdom; On-site; GBP 60,000 - 80,000; Full time

Job summary

A leading compliance firm in the United Kingdom is seeking a professional to manage Compliance Monitoring and Advisory. The role involves delivering high-quality risk-based monitoring activities, producing timely reports for management, and advising on regulatory issues. Candidates must have a working knowledge of the FCA regulatory framework and possess excellent communication and presentation skills. This position plays a crucial part in ensuring compliance with regulations and facilitating good customer outcomes.

Qualifications

• Working knowledge of the FCA regulatory framework.
• Ability to compile briefing notes for senior management.
• Experience in Compliance Monitoring and Advisory.

Responsibilities

• Deliver high-quality risk-based Compliance monitoring activities.
• Produce timely management information for submission to committee.
• Advise management on regulatory issues.

Skills

Effective communication

Presentation skills

Compliance monitoring

Risk management

Job description

Job Description

Working in the Risk and Compliance Department providing Second line of defense to the business and reporting into the Compliance and Risk Department Manager

Responsibilities will include Compliance Monitoring, Compliance Advisory and Risk Management including providing senior management with timely, accurate and focused information and reporting

Requires working knowledge of the FCA regulatory framework, be an effective communicator at all levels with excellent presentation skills

Role Description

Responsible for the delivery of high-quality risk-based Compliance monitoring activities across the business.

Activities include regular 2nd line QA and Outcomes testing plus desk-based sample reviews to test both compliance with regulation/legislation to ensure the delivery of good customer outcomes are being achieved

• Production of timely management information for submission to monthly Risk and Compliance Committee
• Provide guidance to management and other departments on regulatory issues and compliance matters
• Advise on and help develop the financial crime framework to ensure it aligns with all legal and regulatory requirements
• Conduct Horizon scanning and for Senior Management to identify regulatory announcements and upcoming changes
• Compiling briefing notes covering key regulatory updates and announcements for senior management
• Maintaining a working knowledge of the regulatory environment to ensure proactive communication, intervention and countermeasures are timely and effective