Segment Compliance Monitoring Head
5 months ago
Job Description
To manage the Compliance Monitoring function in the business segments and to assist the Group Compliance Monitoring Head and Group Chief Compliance Officer to strategically lead, manage and deliver an integrated end-to-end Group Compliance Monitoring function across the Group in order to provide independent assurance to the Group Compliance Monitoring Head, the Group Chief Compliance Officer, Group Audit Committee, Board and Regulators in accordance with the relevant laws and regulations, applicable codes of conduct aligned to leading practices in all countries where it conducts business, or has business relationships
- Draw up a budget aligned to tactical delivery plans to facilitate the provision of adequate financial resources
- Ensure integrated view and reporting of relevant business information
- Analyse information to identify trends, discrepancies and inconsistencies for decision making purposes
- Ensure reporting of identified inconsistencies or opportunties
- Use the insights gained through integrated business reports to measure success and realign tactical strategy implementation objectives appropriately
- Establish and maintain good working relationships with the regulator - FCA, PRA and any other relevant bodies
- Ensure that a robust culture of compliance exists across the client and its subsidiaries
- Provide guidance in the design and implementation of operational procedures to remediate any regulatory, conduct and reputational risks discovered during monitoring reviews
- Assist in the investigation and address any customer complaints in conjunction with the Legal team
- Monitor Financial Promotions and Investment
- Documentation to ensure that it is clear, fair, and not misleading and is suitable for the target client base
- Liaise with the regulatory investment compliance team and Financial Crime Compliance teams to ensure that teams are adequately resourced to address compliance and regulatory risks and changes
- Ensure that applicable staff are FCA and PRA registered
- Monitor the staff dealing log
- Brainstorm, identify, implement and drive innovative best practice ideas within the organisation to ensure increased efficiencies
- Create and participate in specialist communities of practice and represents the organisation at Group and industry level to share best practice insights and solutions
- Drive strategic projects, change management and platform integration across operations
- Leverage Group capability to exploit opportunities
- Ensure and encourage adherence to an operational framework of policies and procedures
- Implement compliance programmes, processes, and procedures in support of laws and regulations
- Ensure that operations are monitored and audited, including, systems in place to detect compliance violations in high-risk, transactional activities, red flag indicators and metrics for compliance risks
- Evaluate the effectiveness of business unit processes and other controls that exist to ensure compliance with laws, regulations, policies, and procedures
- Oversee and manage the monitoring of business unit conduct (e.g., for violations of applicable laws, regulations, policies, and procedures)
- Manage critical projects including incident and crisis management to ensure that the incident management plan is executed in a timely manner
- Ensure compliance with the requirements of Business
- Continuity and Issues Management programmes
- Collaborate with business units to perform periodic reviews of compliance effectiveness
- Compile and submit compliance-related reports to various regulators, as and when required
- Report to regional and international executives on all compliance related matters
- Work closely with internal audit team and Head of stakeholder Engagement on the audit findings and regulatory issues and updates
- Lead and participate in compliance related system and operations development projects
- Collaborate with the Legal and Corporate
- Investigations departments on all joint ventures and/ or related matters
- Respond to compliance and due diligence questionnaires from clients and prospects
- Participate with the business unit in self-assessments / audits, incl. data privacy and compliance-related assessments and other reviews
- area of expertise.
- Demonstrate leadership behaviour through personal involvement, commitment and dedication in support of organisational values
- Develop, encourage and nurture collaborative relationships across
- business areas and across the group
- Manage team or teams in areas of responsibility in delivery against performance targets and achievement of wider human capital objectives- #Post
- #RMB
- #LI-JN1
Job Details
Application Closing Date
28/05/24
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