Description
The Compliance Manager, Compliance Monitoring supports the Head of Monitoring and Head of Compliance Oversight in fulfilling their responsibilities defined under the RBC Regulatory Compliance Management Framework.
Responsibilities:
- Assessing the adequacy of, adherence to, and the effectiveness of day-to-day controls to manage regulatory compliance risk
- Providing an opinion on the effectiveness of Regulatory Compliance Management (RCM) controls in achieving compliance with applicable regulatory requirements
- Support development and execution of the Compliance Monitoring Plan, including continuous improvements, enhancements, and efficiencies
- Design, evaluate, oversee, and assess new and existing compliance monitoring tasks
- Support the activities of the Compliance team and champion the embedding of a compliance awareness culture throughout the business
- Carry out 2LoD monitoring tasks as required by the Compliance Monitoring Plan
- Escalate and report any concerns identified to the Head of Compliance Monitoring
- Actively seek and identify viable areas of monitoring that stand to benefit from data-driven testing and/or deployment of AI and automation
- Production of high-quality MI
- Maintain knowledge on industry developments, regulatory changes, company policies, and procedures
Requirements:
- Solid experience in the financial services industry in Compliance monitoring, Testing, Internal Audit, or at a financial institution's regulator
- Experience in Capital Markets, fund management, and data analytics
- Experience as Compliance Manager and/or related discipline (Risk & Compliance)
- Deep knowledge of compliance monitoring methodologies and/or audit experience
- Knowledge of FCA (and prevailing, relevant domestic and local) rules and regulations
- Excellent communication, presentation, and organizational skills
- Excellent collaboration and team-building skills
Nice-to-have:
- Higher-level qualifications such as a bachelor's degree or Master's degree (or equivalents)
- CISI or ICA qualifications