Compliance Monitoring and Audit Manager
Posted on Jan 17, 2019 by Anonymous
This team is responsible for providing first line assurance that the firm's processes are operating efficiently.
The Compliance Monitoring and Audit Manager will take responsibility for:
* Planning and implementing the annual quality audit plan
* Day to day management of the Quality Audit Team
* Providing risk management expertise
* Working with senior stakeholders to ensure operational infrastructure operates effectively and that robust systems and controls are maintained
* Preparing and owning the annual quality audit plan, including quality monitoring reviews, deep dive thematic reviews, business change reviews and controls testing
* Continually improve the quality assurance framework and approach, with appropriate alignment to testing and reviews performed by other parties such as Risk & Compliance and Internal Audit
* Ensuring review work is appropriately documented
* Undertake root cause analysis and propose appropriate solutions and advice on remedial actions.
* Recruit, train, mentor and develop employees. Create an environment that encourages employee engagement, teamwork, and communication and generates a culture of operational excellence.
* Producing monthly management information
The Compliance Monitoring and Audit Manager will meet the following skillset:
* Proven experience managing a team
* Background in wealth management, investment management or and IFA
* Experience of risk management, compliance monitoring, audit testing and/or testing controls
* Broad understanding of the investment management industry, gained from a solid background within financial services
* Adaptable to an ongoing changing environment and an active supporter of change
* Excellent working knowledge of Excel
This is an exciting time to join a high performing team at a flourishing North-West investments house. The company offers excellent benefits and enviable offices.
If you believe your experience meets the criteria, please apply with a copy of your CV.
Note, this is a highly competitive position. We receive a high volume of applications and are unable to respond to each CV