modern approach

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Compliance Monitoring Manager, Bristol

Location: Bristol

Salary: negotiable

Type: Permanent

Category: Compliance & Risk

Ref: SW/2524

A very successful, award-winning Investment Management organisation, with prestigious offices in Bristol close to Temple Meads train station, has a new opportunity for a Compliance Monitoring Manager. This is an exciting opportunity to join this well-respected company that bring together discretionary investment management, platform services and intuitive investment technology with over 1000 adviser firms using their services across the UK.

You’ll be responsible for delivering a compliance monitoring plan by creation and maintenance of associated risk controls frameworks whilst working alongside the Compliance Managers.

 

This Compliance Monitoring Manager role will see you:

 

  • Leading and delivering the Compliance Monitoring Plan and allocating resources accordingly. Providing MI and progress reports on the Monitoring Plan to Executive Committee and senior management.
  • Undertaking allocated Compliance Monitoring Reviews within agreed timescales to support the timely delivery of the approved Compliance Monitoring Plan
  • Ensuring the Compliance Monitoring team function as an independent and objective body that reviews and evaluates compliance issues and concerns within the business.
  • Identifying potential areas of compliance vulnerability and risk and helping to develop, implement, manage, and coordinate corrective action plans for the resolution of problematic issues, as well as providing general guidance on how to avoid or deal with similar situations in the future.
  • Identifying and raising breaches of rules, regulations, policies, procedures, and Standards of Conduct and evaluating or recommending the initiation of investigative procedures.

 

What's in it for you?:

 

  • Excellent annual remuneration
  • Non-contributory Personal Pension scheme
  • Substantial holiday allowance
  • Life Assurance & Income protection insurance
  • Private health insurance

You’ll have:

  • Expert knowledge of relevant FCA requirements and regulatory framework, along with an ability to find, analyse and apply the relevant details as and when needed.
  • Previous experience of developing and applying compliance policy.
  • Continue to sustain necessary knowledge, skills and expertise to maintain ongoing competence in a technical role.
  • Well-developed analytical and reasoning skills.
  • Experience of operating within a company that has experienced rapid growth ideally within wealth management.

 

 

Next steps:

If this interests you and you’d like to find out more, please apply now or call Jess Wood on 0117 962 5005; a full and detailed role profile is available - we can then discuss your career aspirations in more detail and ascertain if this is an opportunity you'd like to explore further.

By applying for this position, you agree to Sandringham Wood processing your personal data, in line with our privacy notice  https://www.sandringhamwood.com/privacy-notice

 

 

 

What others say...

Jess has proved a very reliable source of good candidates for our business. She is very easy to deal with and has an excellent understanding of the industry. In addition, she has a great sense of humour and sense of perspective. I would...


Sandringham Wood
54 Parrys Lane, Stoke Bishop
Bristol, BS9 1AQ

Sandringham Wood Recruitment Ltd is a company registered in England and Wales
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