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VP Compliance Monitoring & Controls, London
Client:
Morgan McKinley
Location:
London, United Kingdom
Job Category:
Other
-
EU work permit required:
Yes
Job Views:
2
Posted:
31.05.2025
Expiry Date:
15.07.2025
Job Description:
Key objectives:
* Assist in designing, implementing, and executing the Compliance Monitoring Program
* Lead Non-FS Compliance projects
* Ensure effective implementation of the Compliance Control & Risk Management framework (CCRM)
* Maintain controls, procedures, and training to ensure Regulatory Compliance
* Advise on all Regulatory Compliance matters (FCA - MiFID, Credit Broking, Insurance Mediation & RICS)
* Lead Regulatory Engagements internally and externally
* Contribute to Regulatory Watch and horizon scanning for new regulations impacting UK Real Estate
* Support the design and production of Regulatory Compliance MI
* Review and challenge the RE UK Risk and Control Self-Assessment (RCSA)
* Deputise for the Compliance COO as needed
Purpose:
* Manage the CCRM framework
* Perform independent testing and verification of controls
* Complete Compliance Central Control Library (CCL) and Thematic reviews
* Develop the yearly Compliance Monitoring Programme
* Conduct Compliance Monitoring Reviews
* Review business lines/locations for compliance with policies and regulations
* Follow-up on mitigation actions from reviews, audits, and regulatory findings
* Monitor Compliance Risks and Controls
* Provide information for Compliance committees
* Lead Compliance projects and ensure timely delivery
* Review and challenge RE UK RCSA with global and local teams
* Ensure controls, procedures, and training align with RICS, FCA, and BNPP Group standards
* Advise employees on RICS and FCA rules
* Manage Regulatory Engagements and communications with regulators
* Lead regulatory horizon scanning and respond to consultations
* Implement SMCR Framework and ensure ongoing fitness & propriety of SMFs
* Participate in regulatory change assessments and projects
* Maintain FCA Connect and Reg Data submissions
* Coordinate FCA and RICS site visits
* Review and update Regulatory Compliance Policies
* Oversee REAPM (S&PFB)/REIM Regulatory Conduct oversight
* Assist in management reporting and external seminars
* Contribute to Compliance training programs
* Support NAC and TAC processes
* Support the Compliance COO in meetings, projects, and presentations
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