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Job Detail


Assistant Compliance Monitoring Manager ref : 702375255
30,000 Bristol
14/02/2018 10:28:04

Assistant Compliance Monitor
Location: Bristol
Salary: £24,000 - £30,000 per annum

The role requires scoping, planning and delivery of Compliance Monitoring reviews as part of the overall Compliance Monitoring programme to provide assurance to Senior Management and drive improvements in respect of regulatory standards throughout CIS. The key areas of regulation applicable to CIS are the FCA Principles for Business and COBS, CASS, SYSC, SUP, APER, TC, MAR and DISP handbooks as well as Data Protection Act (DPA) and Anti-Money Laundering rules (AML).


* Scope and plan monitoring reviews of CIS business areas in line with the risk based Compliance Monitoring Programme.
* Complete testing activity through investigation, review and analysis across CIS's operational activities to assess compliance with prevailing regulatory requirements, internal policies and best practice.
* Identify and assess risks arising in the business making reference to prevailing regulatory requirements and best practice.
* Liaise with all levels of staff across the business during the course of testing activity.
* Produce objective, timely and well-presented monitoring reports and gain approval for distribution to senior management and CIS Directors.
* Gain commitment from the business to address any issues identified.
* Assess the completeness and accuracy of actions taken to address monitoring findings
* Liaison with colleagues across Control & Governance, Risk, Compliance and Audit functions where required.

Skills/ Experience

Desired Experience:

* Experience within a compliance role, ideally compliance monitoring, for an FCA authorised and regulated firm.
* A basic understanding of the FCA Handbook - in particular COBS, CASS, SYSC, SUP, DISP and AML, obtained from working in an FCA authorised and regulated firm.
* Audit or Accountancy experience is advantageous.
* Data Protection Act / GDPR experience is advantageous.

Desired Competencies:

* Strong interpersonal, presentation and communication skills: both written and verbal.
* Good influencing and negotiation skills.
* Excellent analytical skills with high levels of attention to detail.
* Proactive, self-starter who can work with minimal direction and supervision.
* Proven organisational and time management capabilities.
* Resilience to deliver under pressure.

Due to the high volume of applications we receive it is not always possible to respond to unsuccessful applicants. Therefore if we have not responded to your application within five days please note that on this occasion your application has not been successful

Ambridge Harris is committed to equal opportunity and diversity. Ambridge Harris will not discriminate on unlawful grounds.

Job ref - 22481

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