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We are recruiting a Compliance Monitoring Manager to join our Compliance team across various Ascot Lloyd office locations.

Reporting to

CRO

Location

Various

Purpose

  • To ensure the effective provision of 2nd line assurance activity in the form of compliance monitoring and to assess the adequacy of systems and controls in place across the Ascot Lloyd business and to mitigate against key regulatory and risk types.
  • The role is to design and implement the compliance monitoring plan within the Ascot Lloyd business and will include compliance oversight on a risk basis of key third-party suppliers. It will follow the framework of a risk-based compliance monitoring programme plus investigate any relevant or material issues/exceptions.
  • This is a certification function role.

Responsibilities 

  • Develop a risk-based compliance monitoring plan fit for Ascot Lloyd’s size, scale and complexity.
  • Delivering and implementing risk-based compliance monitoring reviews as detailed within the annual compliance monitoring plan.
  • Ensure compliance monitoring methodology and reporting is adopted by the Ascot Lloyd business and to oversee that business compliance arrangements are delivered within the appropriate risk appetite, regulatory tolerances and regulatory requirements.
  • Prepare necessary reports including findings, actions for key stakeholders, covering monitoring exceptions and progress within the monitoring plan.
  • Assist the CRO with the preparation of reports to relevant boards and committees, highlighting any specific high-risk areas, management of actions and progress against the compliance monitoring programme.
  • Maintain awareness of global regulatory developments with regards to all activities undertaken by the Ascot Lloyd business.
  • Provide technical support to the wider compliance and risk team to maximise added value and efficient use of resources.
  • Promote a good risk and compliance culture at Ascot Lloyd.

Experience and core skills

  • Significant experience of working in compliance and understanding of the FCA rules
  • Confident guiding senior executives on compliance matters
  • Confident solving complex compliance related problems
  • Experience of improving processes to ensure the company is compliant and performing effectively
  • Proficient in MS Word, Outlook, PowerPoint and Excel
  • Good communicator, both written and verbal
  • Keen eye for detail and accuracy

Ascot Lloyd people

  • Place the client at the centre of all their actions
  • Are professional, well qualified experts in their field
  • Know their own strengths and focus on what they do best
  • Support each other to optimise the client's experience
  • Have high integrity
  • Are up front and fair
  • Are consistent in their positive outlook, intentions and client centric thinking
  • Understand that whilst working hard brings results, questioning the way things are done, always looking for efficiencies and striving for improvements in the way they work will bring better results longer term
  • Are supportive team players who keep the interests of the company at the forefront of everything that they do

Apply Now