Description
Compliance Manager (Investment Oversight)
Bristol
6 month contract (with the view to extend)
£
Compliance Manager role for a large financial services organisation based in Bristol. This is a 6 month contract with the view to extend paying between £ per day.
The ideal candidate for the Compliance Manager position will be responsible for establishing and maintaining the compliance, oversight and escalation framework that will underpin all investment supplier relationships. Includes actions from the framework to ensure controls are in place and lead remedial action is implemented.
Role Responsibilities:
- Work with stakeholders to lead implementation of annual risk based compliance monitoring programme.
- Lead planning for subsequent implementation of the annual monitoring programme.
- Ensure documents are obtained and prepared as evidence of controls from suppliers.
- Identify control weaknesses and agree/implement remedial action plan.
- Dashboard/KPI monitoring and reviewing.
- Manage breach logs, understand breach causes and discuss remedial action regarding breach logs.
- Escalate issues to senior governance/management.
- Primary interface within group investments with internal and external auditors and with group compliance.
- Maintain knowledge of risks within group investments and implement best practice.
- Support Governance managers in identification, management and mitigation of operational risks.
- Maintain operational risk log.
Key Skills/Experience:
- Strong stakeholder management skills
- Excellent communication skills
- Experience across financial markets essential.
- Experience in investment management industry essential.