Job Description

Compliance Monitoring Manager

\xc2\xa360,000 - 70,000

Edinburgh or Peterborough

Who are Diligenta?

Diligenta\'s vision is to be acknowledged as Best in-class Platform based Life and Pensions Administration Service provider. Customer service is at the heart of everything we do and our aim is to transform our clients\' operations. A business that has been described as \'home\' by existing employees, we drive a culture that is founded on positive change and development.

The Opportunity

Due to recent successful client wins we are investing in our Compliance offering which will include expansion of the Monitoring and Oversight/Guidance functions. As part of this expansion we have a brand new position for a Compliance Monitoring Manager who will lead a team based across multiple locations.

In this role, you will be responsible for monitoring/oversight role for some of our largest accounts to ensure they are fully compliant with FCA rules, requirements and principles. You will also be managing approximately 7-8 Compliance Monitoring Officers whilst motivating and developing the team.

This is a fantastic opportunity for those looking step into a management role, shape a new team, and play a critical role in driving regulatory adherence in a complex environment.

You\'ll be:

• Informing and supporting the Audit & Compliance Committee, the Executive Management Team and clients on our application of regulatory compliant processes
• Developing and managing the delivery of the Compliance Annual Monitoring Plan
• Managing the Compliance Monitoring Team to operate in accordance with Diligent a\'s Compliance Monitoring Methodology
• Providing effective leadership, continuous professional development (own and team), effective performance management and staff development
• Supporting the business in ensuring Retail Conduct Risk (including "Treating Customers Fairly" principles) is fully considered, interpreted and implemented
• Representing the Compliance function at relevant internal and external Governance forums and committees

• Have an exceptional understanding of FCA, DPA and AML rules and regulations
• Have strong operational financial services/business knowledge developed over a number of years working within Financial Services
• Are able to build and maintain strong relationships with business partners and clients
• Are able to accept a high level of autonomy and take responsibility for decision making on regulatory matters
• Have excellent organisational and people management skills
• Have previous experience in Compliance Monitoring (desirable)
• Have previous experience in an outsourcing/consultancy (desirable)

• 25 days holidays + 8 bank holidays
• Discretionary annual bonus
• Company pension scheme membership
• Car allowance and private healthcare
• Gain professional accreditation on completion at no extra cost through our bespoke 24/7 professionally accredited online learning and development tools
• Access to our Confidential Helpline is available to be used by you and your family
• Develop your career through a wider global organisation of the TCS family

Sanderson Recruitment