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VP Compliance Monitoring & Controls, Slough
Client: Morgan McKinley
Location: Slough, 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 for Regulatory Compliance requirements.
* Provide expert advice on Regulatory Compliance (FCA - MiFID, Credit Broking, Insurance Mediation & RICS).
* Lead Regulatory Engagement 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 RE UK Risk and Control Self-Assessment (RCSA).
* Deputise for the Compliance COO as needed.
Purpose:
* Manage the Compliance Control & Risk Management (CCRM) framework.
* Conduct independent testing and verification of controls.
* Complete Compliance Central Control Library and Thematic reviews.
* Develop the yearly Compliance Monitoring Programme.
* Perform Compliance Monitoring Reviews across business lines.
* Ensure controls, policies, and procedures are effectively implemented and mitigations are executed timely.
* Monitor and track all findings and mitigation actions.
* Support Compliance committees and meetings with relevant information.
* Lead Compliance projects and ensure delivery to standards and deadlines.
* Review and challenge RCSA with global and local teams.
* Ensure controls, procedures, and training comply with Codes of Conduct (RICS, FCA, BNPP Group).
* Provide advisory support on RICS and FCA regulations.
* Manage Regulatory Engagement and communication with regulators.
* Lead the implementation of SMCR Framework and ongoing fitness & propriety assessments.
* Participate in regulatory change assessments and implementation projects.
* Maintain and submit required information/returns within Reg Data and FCA Connect.
* Coordinate FCA and RICS site visits.
* Update and communicate Regulatory Compliance Policies and Procedures.
* Oversee REAPM/REIM Regulatory Conduct oversight.
* Assist in preparing management information for senior meetings.
* Represent Compliance at external seminars and forums.
* Contribute to Compliance e-Learning and training programs.
* Support NAC and TAC processes.
* Support the Compliance COO with meetings, projects, and presentations.
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