The Group Compliance Manager - Operations is a newly created role within the organisation and will be responsible for enhancing, improving, auditing & monitoring current systems and processes throughout the organisation.
My client is a large Financial Services organisation based in Cardiff.
This is an exciting, newly created role reporting directly in to the Financial Director.
The role will include but not limited to:
Determine systems and process related priorities across the Investment businessDevelop and implement appropriate systems and processes across the organisation to support the commercial businesses to be compatible with our legal compliance requirements and to meet good industry practice.Review and evaluate current documentation, processes, systems and practices against agreed frameworks and develop gap analysis planManage the effective implementation of the identified improvements to current systems and processes, working alongside relevant teams e.g. Finance, Technology, Customer Services, Legal and Compliance etcReview and assess the financial services regulatory requirements across customer operational proceduresDesign and monitor control systems to ensure compliance with both internal company policy and external regulationManage and provide training, advice and support to the financial services operations team and wider operational teams in financial services compliance, processes and proceduresConduct systems and process risk assessments, regularly assessing the efficiency of the controls in placeMonitor performance of of systems and processes and facilitate interventions to manage risksPerform systems and process audits and compile reports to identify non conformances and actions to improveDocument financial services compliance-related processes and maintain recordsKeep up to date with financial services regulatory changes and developments
ProfileKnowledge & Experience
Educated to degree levelAn accredited qualification in financial services regulatory and compliance assurance will be advantageous. Experience as a financial services regulatory compliance specialist, of FCA regulation and requirements or similar in the financial services, wealth management and/or investment management sector Experience of auditing and driving improvementsDeep and sound knowledge of regulatory policies as well as proven track record in implementing systems and processes in accordance with policiesExperience of training and providing advice and support to operational teams around systems, processes and procedures Excellent interpersonal and communication skills with experience in communicating across all levels of an organisationProven experience of driving improvements through systems, processes and technologyExperience of influencing and leading cross functional teams to develop and implement solutions.Key Behaviours:
Strong team player, who is comfortable in working as part of a virtual teamStrong analytical skills, paying careful and particular attention to detail, and also have an investigative mindsetDiligence and perseverance, must be willing to see an issue through to resolutionMethodical and planned with strong attention to detailPassion for customers and user experienceAlways looking for the next improvement opportunityConfident and articulate in expressing your ideas to a mixed audience with varying views and challenges
Salary c £40,000 - £45,000