Deputy Compliance Monitoring Manager

Overview

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This is a hybrid opportunity - Milton Keynes/home-based, with travel to other Group offices or locations as required.

Your job will be to:

• Work with and support Group Head of Compliance Monitoring and Oversight and Compliance Monitoring Manager on special projects/investigations.
• Assist in the training and development of the team.
• Review and update at least annually the Compliance Monitoring Procedures and Templates.
• Assist in the annual planning and preparation of the Compliance Monitoring Plan.
• Undertake Compliance Monitoring reviews in line with the approved methodology that focuses primarily on FCA regulations and measurement of fair outcomes for customers.
• Prepare regular, timely, relevant and concise reporting on the findings for management, including recommendations for addressing any weaknesses.
• Track and report on the progress of remedial actions and where appropriate, guide management in implementing necessary improvements.
• Assist in preparing reports for the Board and other Committees on findings from monitoring work and how the business responds to issues identified.
• As required, act as "Lead Monitoring Officer" to manage specific reviews and coordinate the activities of other Monitoring Officers in relation to that work.
• Work closely with key business areas and stakeholders to ensure monitoring activity is completed and delivered with minimal interruption to the business area under review.
• Highlight and record lessons learned for sharing across the Group.
• Keep abreast of best practice and external developments in the area of monitoring and ensure that learning is applied.
• Undertake special investigations as required in response to breaches or other issues arising.

The ideal candidate will have:

• Relevant experience within the Financial Services industry, with knowledge of mortgage and protection services and possess a sound understanding of FCA Regulation, including MCOB, ICOBS and DISP.
• Relevant experience within the Estate Agency and Lettings industry, with knowledge of The Property Ombudsman and the Codes of Practice for Residential Estate Agents and Residential Letting Agents.
• Excellent knowledge of current regulatory environment, relevant regulations, and industry best practice in relation to compliance monitoring tools and techniques.
• A team player, with the ability to work unsupervised.
• Ability to build strong and effective working relationships with Stakeholders, including but not limited to Internal Accountable Executives, Group Internal Audit, and External Auditors.
• Ability to assess the impact and relevance of issues and articulate them in a clear and precise manner whilst ensuring a commercial approach is maintained.
• Attention to detail and ability to deliver high quality written work and reporting.
• Articulate, confident communicator and presenter.

Connells Group UK is an equal opportunities employer and positively encourages applications from suitably qualified and eligible candidates regardless of sex, race, disability, age, sexual orientation, transgender status, religion or belief, marital status, or pregnancy and maternity.