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Compliance Manager, Glasgow
- UK - Glasgow
- £45000 - £55000 per annum + Pension, Bonus
- Full-Time Permanent
- Financial Services - Compliance / Legal
- Hays Banking
- 25-11-08
Job Description
Our Global client is looking to recruit a Compliance Manager to join their monitoring and oversight team within Glasgow. They are looking for an individual with a strong financial crime background who has an understanding of Wealth Management and working knowledge of internal audit.
The Compliance Manager will be required to conduct and support multi jurisdictional and complex risk assurance and monitoring reviews across all functions and business units.
The role will also include all parts of the monitoring process, including planning, risk assessments and monitoring, reporting, following up and cover all aspects of the compliance regulation covered by the monitoring and oversight team.
Key responsibilities:
Risk Assessments
- Identify legal and regulatory requirements and potential risks arising from them.
- Identifying new and emerging risks from business and regulatory developments whilst assessing their impact on the monitoring programmes.
- Perform risk assessments on a regular basis and update risk assessments at completion of monitoring reviews.
- Execute monitoring activity, which includes scoping, planning, resourcing, execution and complex multi-jurisdictional reviews.
- Participate in monitoring visits to business units and central functions.
- Assist or lead the production of reports identifying compliance issues and make recommendations of changes to management controls and processes.
- Adhere to risk assurance and monitoring procedures including recordkeeping and documentation requirements.
- Adhoc reviews, with appropriate verbal and written reports as requested by compliance management.
- Review work performed by executives to ensure that monitoring procedures have been adhered to and the correct assessments have been made.
- Escalation of issues or breaches arising from monitoring work to the head of M & O.
- Develop other staff by coaching in technical specialist areas of knowledge.
Monitoring
- Execute monitoring activity, which includes scoping, planning, resourcing, execution and complex multi-jurisdictional reviews.
- Participate in monitoring visits to business units and central functions.
- Assist or lead the production of reports identifying compliance issues and make recommendations of changes to management controls and processes.
- Adhere to risk assurance and monitoring procedures including recordkeeping and documentation requirements.
- Adhoc reviews, with appropriate verbal and written reports as requested by compliance management.
Management
- Review work performed by executives to ensure that monitoring procedures have been adhered to and the correct assessments have been made.
- Escalation of issues or breaches arising from monitoring work to the head of M & O.
- Develop other staff by coaching in technical specialist areas of knowledge.
The successful candidate will have a good understanding, knowledge and come from background in one or more of the following areas:
- Wealth management
- Financial crime (KYC/AML)
- Investment product/asset management
- Sound knowledge of FSA and regulatory body rules and regulations within the UK.
- Audit/compliance preferably within private client or investment management business.
You must also possess the following skills:
- Ability to multitask or manage a number of reviews.
- Excellent interview, presentation, negotiation skills and influence effectively.
- Sound analysis and judgement skills.
- Tenacity.
- Work under pressure.
- Deadline driven.
This role will require some travel, although based from Glasgow there may be a compliance audit required in sites including, Geneva, India, Singapore etc. and you will be away for periods of time although this is not every week.
The Compliance Manager will be required to conduct and support multi jurisdictional and complex risk assurance and monitoring reviews across all functions and business units.
The role will also include all parts of the monitoring process, including planning, risk assessments and monitoring, reporting, following up and cover all aspects of the compliance regulation covered by the monitoring and oversight team.
Key responsibilities:
Risk Assessments
- Identify legal and regulatory requirements and potential risks arising from them.
- Identifying new and emerging risks from business and regulatory developments whilst assessing their impact on the monitoring programmes.
- Perform risk assessments on a regular basis and update risk assessments at completion of monitoring reviews.
- Execute monitoring activity, which includes scoping, planning, resourcing, execution and complex multi-jurisdictional reviews.
- Participate in monitoring visits to business units and central functions.
- Assist or lead the production of reports identifying compliance issues and make recommendations of changes to management controls and processes.
- Adhere to risk assurance and monitoring procedures including recordkeeping and documentation requirements.
- Adhoc reviews, with appropriate verbal and written reports as requested by compliance management.
- Review work performed by executives to ensure that monitoring procedures have been adhered to and the correct assessments have been made.
- Escalation of issues or breaches arising from monitoring work to the head of M & O.
- Develop other staff by coaching in technical specialist areas of knowledge.
Monitoring
- Execute monitoring activity, which includes scoping, planning, resourcing, execution and complex multi-jurisdictional reviews.
- Participate in monitoring visits to business units and central functions.
- Assist or lead the production of reports identifying compliance issues and make recommendations of changes to management controls and processes.
- Adhere to risk assurance and monitoring procedures including recordkeeping and documentation requirements.
- Adhoc reviews, with appropriate verbal and written reports as requested by compliance management.
Management
- Review work performed by executives to ensure that monitoring procedures have been adhered to and the correct assessments have been made.
- Escalation of issues or breaches arising from monitoring work to the head of M & O.
- Develop other staff by coaching in technical specialist areas of knowledge.
The successful candidate will have a good understanding, knowledge and come from background in one or more of the following areas:
- Wealth management
- Financial crime (KYC/AML)
- Investment product/asset management
- Sound knowledge of FSA and regulatory body rules and regulations within the UK.
- Audit/compliance preferably within private client or investment management business.
You must also possess the following skills:
- Ability to multitask or manage a number of reviews.
- Excellent interview, presentation, negotiation skills and influence effectively.
- Sound analysis and judgement skills.
- Tenacity.
- Work under pressure.
- Deadline driven.
This role will require some travel, although based from Glasgow there may be a compliance audit required in sites including, Geneva, India, Singapore etc. and you will be away for periods of time although this is not every week.
- Robert Doyle
- 00189108
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