Senior Compliance Monitoring Manager Job London area,Greater London England UK,Finance & Banking

Location: Greater London

To lead,undertake andoverseeall compliancemonitoringactivity,ensuring issues and risks of a compliance and regulatory nature are appropriately managed.

Ensure compliancemaintainsa culture of high-quality customer care and compliance supportto the business within agreed regulatory control frameworks.

Key Responsibilities

Develop a thorough understanding of the business and regulatory landscape the businessoperateswithin.
Ensures the firm adheres to regulatory requirements and internal policies by developingamonitoringprogramme and conducting risk assessments.
Undertake regular monitoring reviewstoidentifypotential violations and areas of non-compliance.
Ensure there are effective compliance policies, procedures and controls are inplace in line with Ascot Lloyd’s regulatory obligations and expectations, including but not limited the requirements if MiFID, GDPR, SMCR, RDR, AMLD, etc.
Identify,monitor and where appropriate provide challenges on compliance or regulatory issues that may arise within the Ascot Lloyd business.
Develop a good understanding of the business,identify ways of improving upon practices with compliance to help deliver a service above basic regulatory and legislative requirements that enhance growth and success.
Support delivery of the business acquisition strategy and ensure compliance is represented on all acquisition projects.
Ensure compliance risks are appropriatelyidentifiedand managed effectively, providing direction on corrective measures to the compliance advisory team and business alike so that these risksremainwithin acceptable and agreed parameters.
Produce and present compliancemonitoringreports to various boards and committees within the Ascot Lloyd group.
Promote a good risk and compliance culture at Ascot Lloyd.
Encourage good risk management processes.

Fostering a risk-aware culture acting as a business enabler through which management feels empowered to take risks in a manner that is transparent and that is in line with the business and risk strategy

SM&CR Responsibilities

As an FCA regulated Company, Ascot Lloydare required toadhere to the Senior Managers and Certification Regime (SM&CR), to develop a culture where employees take personal responsibility for their own actions.

Individual Conduct Rules

You must act with integrity

You must act with due care,skilland diligence

You must be open and co-operative with the FCA, PRA and other regulators

You must pay due regard to the interests of customers and treat them fairly

You must observe proper standards of market conduct

You must act to deliver good outcomes for clients

Experience / Skills Required

Significant experience of working in compliance and understanding of the FCA rules
Confident guiding senior executives on compliance matters
Able to train and support Ascot Lloyd employees
Confident solving complex compliance related problems
Experience of improving processes to ensure the company is compliant and performing effectively
Proficient in MS Word, Outlook,PowerPoint and Excel
Good communicator, both written and verbal
Keen eye for detail and accuracy

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