Senior Compliance Manager (Risk)

SENIOR COMPLIANCE MANAGER (RISK)

Outsource UK are looking for a Senior Compliance Manager with experience in creating a compliance risk universe and assist in the development of the annual monitoring plan. You will be working at a high profile financial services organisation based in Swindon who in return are looking to offer a 3 month initial contract.

THE JOB:

The regulatory framework governing financial services is complex and the Regulators level of activity has increased significantly in recent months. Compliance Oversight is a key element of the Group's second line of defence and is responsible for identifying, assessing, challenging and reporting on regulatory risk exposures across the Group to ensure that we are compliant and deliver the right outcome for our Customer.

Compliance Oversight achieves this by undertaking oversight activities and risk-based reviews on projects, products, processes and frameworks that have a high regulatory impact. Our focus will include Retail and Wholesale Conduct Risk as well as the applicable Prudential requirements.

As a Senior Compliance Manager you will undertake a number of activities such as:

- Directing review activity for the companies distribution channels.
- Setting the direction for oversight activities and themed reviews, including defining, and delivering on, the remit for your team, and ensuring that they are effective in supporting thematic reviews]
- Provide a leadership to a team of Compliance Managers, Senior Reviewers, Reviewers and Analysts and taking a hands-on role in high profile, complex regulatory reviews.
- Be accountable for the output of the team ensuring that the share of the plan that you are responsible for is delivered on time and within agreed budget, identifying opportunities for improving the focus and efficiency of planned work and delivery.
- As a senior manager you will be responsible for writing committee papers and representing the departments at committees, as well as contributing to the strategic development of the department
- Create and build high value relationships up to Divisional Director level and be able to influence at that level Compliance Risk Universe and assist in the development of the annual monitoring plan.
- Assist in the revision of compliance monitoring methodologies and approach.
- Lead and execute compliance monitoring reviews of a more complex and technical nature.

ESSENTIAL SKILLS & EXPERIENCE REQUIRED:

- Compliance professional looking for a challenging role with substantial experience of risk management in a financial services organisation.
- Qualification in respect of review work or compliance (eg Compliance diploma, certificate OR IIA)
- Solid regulatory review or internal audit experience.
- Studying, or willing to study for a Level 4 Qualification for financial advisers.
- Excellent knowledge of regulation and how it is applied in financial services.