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They are looking to take on a Compliance Monitoring Manager, who will become an integral member of the team in supporting their Global Chief Compliance Officers in fulfilling their responsibilities defined under the business' Regulatory Compliance Management Framework.
This individual will be:
Assessing the adequacy of, adherence to and the effectiveness of the day-to-day controls to manage regulatory compliance risk
Providing an opinion to senior fora on the effectiveness of the Regulatory Compliance Management (RCM) controls in achieving compliance with the applicable regulatory requirements.
Assist in the completion of effective risk assessments to drive the UK (European for Capital Markets) Compliance Monitoring Plan;
Lead and deliver timely and accurate compliance monitoring reviews that opine on the adequacy of 1st and 2nd line systems, controls and processes to manage Regulatory and Conduct risk (across Capital Markets, Information & Technology Services, Global Asset Management and Wealth Management);
Work with Compliance and business colleagues to track and advise on the appropriateness of actions plans to resolve issues identified during monitoring reviews;
Contribute towards the continual enhancement of the monitoring approach and annual monitoring program (including providing ideas for developing/improving the approach to continuous business monitoring and, where relevant, enhancing the existing Enterprise Monitoring and Testing control standards);
Support ad-hoc projects and activities as required (methodology improvements; stakeholder management; committee reporting).
Assessing the adequacy of, adherence to and the effectiveness of the day-to-day controls to manage regulatory compliance risk for reviews assigned to them
What are they looking for?
Experience in a leading Compliance Monitoring role within a major Banking or Financial Services organisation
Experience developing / improving a Risk Management Framework
Experience in 1st and 2nd lines of defence
Internal Number: 4652057
About Alexander Ash Consulting
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