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Transact
,
London, Greater London
Compliance Monitoring Manager
Overview
Job Description
Do you have in-depth practical knowledge and understanding of monitoring, testing or audit methodoly? Do you have a strong knowledge of risk assessment methodology and a good knowledge of financial instruments, investment services, retail financial products and tax wrappers (pensions, ISAs)? We have a new opportunity for a Compliance Monitoring Manager available. You will be part of the management team in the Group's Compliance Function. This job holder is responsible for the operation of the Compliance Monitoring Programme including delivery of the annual risk based Compliance Monitoring Plan, and providing leadership of our Compliance Monitoring team. You will be involved in: The Compliance Monitoring Programme: * Leading and maintaining an effective Compliance Monitoring team * Leading operationally independent second line risk based monitoring, and ad-hoc reviews of business compliance policies and processes * Reviewing, refreshing and delivering the annual risk based Compliance Monitoring Plan including conducting the monitoring programme risk assessment * Engaging pro-actively with business stakeholders about the outcome of compliance monitoring activity in order to influence a timely, effective and proportionate response * Providing relevant, accurate, timely and clear monitoring MI and overseeing the preparation of all Compliance Monitoring reports * Maintaining an effective relationship and working collaboratively with the Risk Team and Internal Audit Team, General Responsibilities: * Contributing to relevant internal and external consultations, discussions and policy debates and, as needed, representing the Group at industry working groups and trade associations * Contributing to the delivery of timely and effective reporting to the Boards, Committees and Forums, Executive Management, Group Counsel and Senior members of the Compliance team on monitoring activity and associated projects * Working with your colleagues in the Compliance team to keep informed of regulatory developments and assess their impact in order implement monitoring tests * Networking effectively internally and externally to help with the benchmarking of Group compliance practices Ideally you will be educated to a degree level and have least 5 years' experience of working in a financial services audit or compliance monitoring role in the investment and/or life and pensions sectors. You must have a proven track record of successfully delivering Audit work or Compliance Monitoring Programmes. Excellent oral and written communications skills are required alongside sound judgement and analytical skills. You must have effective management, training and developmental abilities. You should be able to engage with members of the executive team and senior management confidently and in an appropriate manner. You need to be inclusive, collegiate and collaborative by nature with strong leadership skills. About us: Transact is the leading independent investment wrap platform in the UK. Established in 2000, we have over £37 billion of funds under direction (as at September 2019) on behalf of over 5,700 advisers and 173,000 investor clients. Our service includes an online platform, owned and built by us, and dedicated regional adviser support to help bring clients' assets and investments together in a smarter, more tax efficient way. We offer access to a wide range of tax wrappers (including ISAs, pensions and life insurance investment bonds) and funds which advisers use to build client investment portfolios. Portfolio valuations, purchases and sales are all supported via Transact Online which is available 24/7. Transact's parent company, IntegraFin Holdings plc, is listed on the London Stock Exchange and is a constituent of the FTSE 250 index. We offer a competitive remuneration package, including company discretionary bonus, excellent pension contributions, an attractive staff share scheme, BUPA health insurance, season ticket loan, buying and selling of annual leave and sponsorship of relevant professional qualifications. Equal Opps We provide a diverse and inclusive workplace and ensure that all of our staff respect and understand individual differences. We are an equal opportunities employer and positively encourage applications from suitably qualified and eligible candidates regardless of age, disability, gender reassignment, marital or civil partner status, pregnancy or maternity, race, religion or belief, sex or sexual orientation.