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In-House Compliance Monitoring Manager - Edinburgh

Compliance - In-House
Ref: 500 Date Posted: Monday 30 Jan 2023
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Dynamic national organisation is looking to hire an In-House Compliance Monitoring Manager to be based in their Edinburgh, Glasgow or London offices (their is also flexible/agile working arrangements available). 

Role Profile:

You will work as a key part of the Regulatory Compliance team supporting the business in the management of regulatory compliance risk through the development and implementation of a robust and dynamic risk-based compliance monitoring programme. Reporting directly to the Senior Regulatory Manager, you will be key in developing and delivering compliance monitoring activities. Responsibilities will include:

  • Work closely with the Senior Regulatory Manager and wider Regulatory Team to help develop and implement the risk-based compliance monitoring programme.
  • Engage effectively with the wider business when performing risk-based monitoring and deep dive reviews in order to provide assurance on the management of regulatory compliance risk.
  • Producing and presenting effective Management Information to senior management and relevant Committees.
  • Remain up to date with new regulatory initiatives or concerns which may affect the existing risk management framework and ensure that action is taken for the monitoring programme to continue to provide assurance on the compliance with regulatory obligations.
  • Develop knowledge and understanding of key area’s propositions, core business and associated risks.  
  • Work closely with other key stakeholders such as the Risk team and current external Auditors.
  • Positively contribute to the Regulatory Compliance team, creating professional, effective, high quality and approachable support for the business.

Candidate Requirements:

To succeed in the role, you will be/have:

  • Resilience to constructive challenge and openness and flexibility of approach to others’ views.
  • The individual should have had a good amount of experience working in the compliance team of an FCA regulated company.
  • Experience of working in a regulated Designated Professional Body firm (IFoA) would be an advantage.
  • Able to take on responsibility and to quickly gain credibility and able to influence and enlist support.
  • Excellent at building relationships and working collaboratively with a wide range of people.
  • Excellent communicator with good verbal, written and listening skills.
  • Ability to deliver high quality results.
  • Able to use your initiative and work autonomously or as part of a team.
  • Pragmatic and solutions driven.
  • Positive and enthusiastic about change.

Qualifications Required:

  • Relevant professional qualification, for example a Compliance Diploma.
  • Relevant material experience in a compliance team in an FCA regulated company.
  • Strong understanding of the FCA Handbook.
  • Proven ability to deliver on change.
  • Experience specifically in compliance monitoring, assurance, audit processes and practices and/or operational risk management.
  • Experience also in a Designated Professional Body or an IFoA regulated company.
  • Exposure to the pensions or professional services industry.
  • Good working knowledge of IT systems, such as Sharepoint

On Offer:

On offer is a competitive salary and excellent benefits package. The company also offer a highly flexible working environment and genuine career progression prospects.

To Apply:

For a confidential discussion about this position or to apply, please contact:

David Thomson- Director

Glasgow: 0141 2440260

Edinburgh: 0131 450 7164

London: 0203 174 2482

Email: david@thomsonlrc.com