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The Compliance Monitoring function in Ireland forms part of a wider Global Compliance Monitoring team. The global team provides monitoring services across Europe and Asia across a wide number of business lines. The key objective is to provide independent assurance to senior management and the relevant Boards and Operating Committees on the adequacy of compliance with key regulatory requirements. In order to provide this level of independent assurance, the department performs Compliance Monitoring reviews across all business areas.
Purpose of your role
As part of the Compliance Monitoring team, the Compliance Monitoring Senior Manager is responsible for performing monitoring reviews and assessments against applicable CBI rules and other regulatory requirements as well as consideration of associated systems and controls within the business to ensure adherence to the relevant regulatory standards. The key role will be to plan and undertake a series of compliance monitoring reviews, primarily based in Ireland. As part of this, there will be involvement on a wider European basis, particularly in respect to teams located in the UK, Luxembourg, France, Germany, Spain and Italy. This work is designed to create a mechanism to afford senior management a high level of confidence that the relevant business areas meet (or have robust plans in place to meet) all relevant regulatory requirements.
Your key accountabilities
The Compliance Monitoring Senior Manager will have specific responsibility for:
Defining and executing a risk based compliance monitoring programme for Fidelity's Dublin based activities (predominantly a fund management company and a life insurance company);
Conducting in depth monitoring reviews, covering complex areas of the business, providing assurance that business controls and practices align with regulatory requirements;
Ensuring all working papers are properly prepared and that suitable and clearly presented recommendations are made when necessary;
Ensuring quality and timely reports are issued to senior management;
Ensuring the timely and appropriate escalation of issues and tracking actions to ensure effective and timely implementation;
Managing the delivery of specific reviews and assessments against agreed deadlines and escalating any slippage against plan to line management in a timely and effective way;
Providing support to more junior members of the monitoring team;
Assisting in the development of detailed Compliance Monitoring procedures, including the determination of appropriate monitoring tools, working paper standards and reporting standards and to reflect changes in regulation;
Building relationships with the relevant business areas and other oversight groups, particularly in relation to the planning and implementation of reviews;
Co-ordinating with other monitoring work carried out in overseas offices;
Maintaining an appropriate level of technical understanding of relevant regulation and keeping abreast of regulatory changes and developments.
Prior experience of working within the following disciplines: Compliance Monitoring or Audit role within either a fund management company or life insurance firm
Detailed understanding of the regulatory environment and principles
Excellent interpersonal, negotiation and influencing skills with the ability to communicate to senior management and other key stakeholders
Excellent report writing capabilities
Flexible, hardworking and able to multi task
Highly motivated individual who is able to manage their own work and timescales but also operate as part of a wider team
Good attention to detail but with the ability to view the bigger picture when recommending changes to the business areas