Accountabilities:

??? Planning, scoping and conducting regular monitoring independently to a high quality

??? Conducting root cause analysis of issues identified, addressing these with management to agree next steps and then track appropriate management actions to closure per the agreed target date

??? Providing critical feedback and challenge to managers at all levels.

??? Contributing towards the continuous improvement of the Compliance Monitoring function, its processes, controls and methodologies

??? Building and maintaining strong relationships with senior managers across the business

??? Supporting the ongoing maturity of the firm???s approach to governance, risk management, and compliance through effective control assurance.

??? Where required, working with third party co-source providers to leverage external expertise and industry insight

Experience:

??? Experienced in compliance, risk or audit roles in a UK Asset, Platform &/or Wealth Management market

??? Experience of compliance oversight/assurance activity, risk assurance or internal audit

??? Relevant governance, risk management and control expertise

??? Relevant knowledge of the regulatory environment

??? Stakeholder management and engagement

??? Understanding and experience of the three lines of defence model

??? The ability to communicate issues and challenge effectively

??? Comprehensive knowledge and understanding of Asset Management/Wealth Management products and markets; of UK and European financial services regulation and policy environment and regulatory processes

??? Excellent communication skills to explain / interact / engage / influence with and between stakeholders (internal)

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