Job Description
We are excited to be partnering with a rapidly growing Investment Manager based in Leeds looking for a Compliance Monitoring Manager to lead the monitoring function.
Responsibilities:
* Develop and implement a risk-based Compliance and Central Monitoring Plan that aligns with risk appetite and regulatory requirements.
* Deliver the monitoring plan for Client-Facing Executives, including oversight of branch visits and related activities.
* Provide second-line assurance through oversight and Training & Competency monitoring.
* Oversee the execution and timely completion of thematic reviews and regular testing, including complex thematic assessments.
* Draft and maintain procedures for new or revised regular testing activities.
* Identify weaknesses or gaps within the compliance framework through targeted reviews, testing, and analytical assessments.
* Prepare comprehensive compliance reports for senior management and the Board, summarizing key findings, emerging risks, and recommended remediation actions.
Requirements:
* Minimum of CISI or CII level 4 qualifications and working towards Level 6
* Minimum of 5 years’ Compliance experience within the financial services or a similar regulated industry.
Location: Leeds (hybrid workin...