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Regulatory Compliance Monitoring - Asset Management


Regulatory Compliance Monitoring - Asset Management


A globally renowned Banking organisation

The Regulatory Compliance Monitoring and Testing Assistant Manager role is based within the bank's
Regulatory Compliance Monitoring and Testing programme which provides ongoing,
periodic monitoring and comprehensive testing for adherence to Regulatory Compliance requirements. The bank's model will operate consistently in all countries to deliver greater transparency and consistency of the reporting of global risks. Compliance Monitoring Managers are a key Compliance role, responsible for coordinating activity either Globally, Regionally or with in-country.

Responsibilities will include:

* Support the Business by providing specialist monitoring assistance as required.
* Conduct periodic monitoring of key Regulatory Compliance risks across all in-country business lines as directed by the regional Regulatory Compliance team
* Assist with the identification of key emerging compliance risks across all categories and
interface appropriately with other stakeholders.
* Proposing, managing and tracking the resolution of subsequent monitoring findings.
* Conduct thematic and targeted reviews
* Track and close subsequent monitoring findings
* Provide regular updates and meaningful management information as requested
* Support the completion of the European monitoring plan via on-site visits as required
and subject to availability
* Deliver and manage progress on effective Regulatory Compliance reviews.
* Contribute to the continuing development, implementation and improvement of the processes,
structures, capabilities, capacity and infrastructure needed to deliver agreed plans and
targets, collaborating with colleagues to maximise end to end integration, effectiveness and

The ideal candidate for this role will have:
* Good understanding of Regulatory Compliance requirements and risk-based monitoring
* Understanding of governance, risk management and control frameworks
* Good knowledge of the Financial Conduct Authority (FCA) Handbook
* Past working experience in a relevant role.
* Varied business and regulatory experience, the latter acquired via Compliance roles and/ or
time with a regulator
* Self-awareness with confidence to work independently and take responsibility for own
* Both spoken and written communication skills with experience of adapting your style and
approach to the audience and message to be delivered
* Experience of creating and deploying comprehensive business/operating plans which
consistently deliver desired results
In addition to the details listed above, the ideal candidate will have
* Excellent planning, prioritisation and documentation skills are essential;
* Enthusiastic, pro-active, self-starter with a drive to deliver high quality monitoring standards;
* Effective and concise verbal and written communication skills;
* Lateral, creative thinker with good problem solving and analytical skills;
* Good quantitative and qualitative analytical skills; and
* High level of professional and personal integrity.

This role represents an excellent opportunity to work with a world renowned business, become part of its culture and secure a long term future where there will be ample opportunity to grow and develop on a professional basis. The monitoring plan alone is a complex and in-depth piece which involves numerous individual and reporting lines. Your first role at the business will allow you to build a reputation for excellence quickly and build your internal profile.

Please quote CGL1611-167 when calling Alexander Lloyd on 01293 572900 and ask for our Compliance division. This is only one of many vacancies we are handling. Alexander Lloyd is a specialist within Financial Services recruitment. Areas of expertise include Compliance Directors, CF10/11, Risk Frameworks, Monitoring, Advisory, Policy, T&C, Quality Assurance/ File Review, AML/KYC etc across the entire financial services sector including investments, banking and insurance. We predominately focus on London, Surrey, Sussex and Kent, although we have also been highly successfully in offering national solutions. Due to the high amount of interest that we receive for each of our roles unfortunately we cannot respond to each application individually, therefore if you do not hear back from one of our consultants you have not been shortlisted for this role. Please continue to check our website for any other roles which may be of interest.


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