• Anywhere


Lucy Adam

This global client is looking to recruit 2 Compliance Monitoring Managers,, a pivotal role in driving conduct and regulatory risk maturity within a risk and compliance outsourcing organisation, helping them develop a market leading risk and compliance capability – talent, frameworks, processes, technology and insights – to help them grow their presence in the UK Financial Services sector. You will support 2 client contracts with another kicking off next year so it will feel like an intenal consulting role giving you exposure in both Life & Pensions and Banking.

This is a great chance for someone to get involved early in their journey and to play a pivotal role in shaping one of the key areas for them going forward. The role can be based in Edinbrgh or Glasgow.

The role will involve the oversight and the delivery of a compliance monitoring program.

FULL SPEC ON REQUEST. Responsibilities include to:
• Lead in embedding the Compliance, Conduct and Regulatory Risk framework, tools and mechanisms to be deployed in supporting effective regulatory compliance.
• Challenge business functions on compliance with UK regulatory requirements.
• Complete thematic and more granular monitoring reviews in line with the monitoring schedule.
• Evaluate the adequacy and effectiveness of internal regulatory risk controls and recommend improvements to the business, including identification of potential risks or gaps.
• Assist in the design and operation of all aspects of the Compliance Monitoring plans in line with regulatory and company specific requirements.
• Follow up on non-conformities through to resolution, including a robust escalation process for highlighting and running non-adherence via the Senior Management Team.
• Support the identification of potential or actual conduct and compliance risks and ensure appropriate escalation, remediation and mitigation to manage risks back within appetite.
• Assist in identifying, analysing and monitoring regulatory change that could impact the firm and its clients.
• Promote a culture of Conduct and Regulatory awareness

This role would be suited to a compliance manager or internal auditor / internal audit manager with strong experience of the Financial Services regulatory environment and regulatory frameworks, looking for a new and very different challenge in a fast-paced and fluid environment.

If this is of interest and you would like to find out more please get in touch.

Adam Appointments is the only Scottish agency specialising exclusively in Corporate Governance recruitment.

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