VP Compliance Monitoring & Controls

JR United Kingdom; Slough; On-site; GBP 70,000 - 110,000; Full time

Job summary

A leading company in Slough is seeking a VP of Compliance Monitoring & Controls. The successful candidate will design and execute compliance strategies, provide expert regulatory advice, and manage compliance risks effectively. This role requires substantial experience in regulatory frameworks and project management, contributing to the company's commitment to integrity and compliance.

Qualifications

• Extensive experience in compliance and risk management roles.
• Knowledge of FCA, MiFID, and regulatory requirements.
• Strong leadership and communication skills.

Responsibilities

• Design and implement the Compliance Monitoring Program.
• Lead Regulatory Engagement with internal and external stakeholders.
• Conduct independent testing of compliance controls.

Skills

Regulatory Compliance

Risk Management

Project Management

Education

Degree in Finance, Law, or related field

Job description

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VP Compliance Monitoring & Controls, Slough

Client: Morgan McKinley

Location: Slough, United Kingdom

Job Category: Other

EU work permit required: Yes

Job Views: 2

Posted: 31.05.2025

Expiry Date: 15.07.2025

Job Description:

Key objectives:

• Assist in designing, implementing, and executing the Compliance Monitoring Program.
• Lead Non-FS Compliance projects.
• Ensure effective implementation of the Compliance Control & Risk Management framework (CCRM).
• Maintain controls, procedures, and training for Regulatory Compliance requirements.
• Provide expert advice on Regulatory Compliance (FCA - MiFID, Credit Broking, Insurance Mediation & RICS).
• Lead Regulatory Engagement internally and externally.
• Contribute to Regulatory Watch and horizon scanning for new regulations impacting UK Real Estate.
• Support the design and production of Regulatory Compliance MI.
• Review and challenge RE UK Risk and Control Self-Assessment (RCSA).
• Deputise for the Compliance COO as needed.

Purpose:

• Manage the Compliance Control & Risk Management (CCRM) framework.
• Conduct independent testing and verification of controls.
• Complete Compliance Central Control Library and Thematic reviews.
• Develop the yearly Compliance Monitoring Programme.
• Perform Compliance Monitoring Reviews across business lines.
• Ensure controls, policies, and procedures are effectively implemented and mitigations are executed timely.
• Monitor and track all findings and mitigation actions.
• Support Compliance committees and meetings with relevant information.
• Lead Compliance projects and ensure delivery to standards and deadlines.
• Review and challenge RCSA with global and local teams.
• Ensure controls, procedures, and training comply with Codes of Conduct (RICS, FCA, BNPP Group).
• Provide advisory support on RICS and FCA regulations.
• Manage Regulatory Engagement and communication with regulators.
• Lead the implementation of SMCR Framework and ongoing fitness & propriety assessments.
• Participate in regulatory change assessments and implementation projects.
• Maintain and submit required information/returns within Reg Data and FCA Connect.
• Coordinate FCA and RICS site visits.
• Update and communicate Regulatory Compliance Policies and Procedures.
• Oversee REAPM/REIM Regulatory Conduct oversight.
• Assist in preparing management information for senior meetings.
• Represent Compliance at external seminars and forums.
• Contribute to Compliance e-Learning and training programs.
• Support NAC and TAC processes.
• Support the Compliance COO with meetings, projects, and presentations.