Career Opportunities: Compliance Monitoring Manager (19243)
Vacancy Reference Number 19243 - Posted 03/29/2019 - United Kingdom - Audit Risk and Compliance
To assess the adequacy and effectiveness of the measures, controls and procedures put in place by the business, by delivering a pragmatic 2nd line Compliance Monitoring Programme which will assist the business in mitigating and eliminating risks and support colleagues to meet regulatory obligations whilst ensuring our customer’s outcomes are fair and appropriate.
- Support the Senior Compliance Monitoring Manager in developing a suite of material, including, ToR’s, a monitoring universe, an annual compliance monitoring plan and escalation procedures for approval by the Compliance Committee
- Undertake compliance monitoring reviews
- Identify and escalate risk exposures to risk owners, Directors and stakeholders
- Build and maintain strong, visible relationships with the wider busines
- Contribute to the accurate and timely production of MI used for identification and monitoring of risks and controls
- Oversee and monitor key regulatory risks, including conduct risk
- Oversee remediation of control weaknesses relating to regulatory risk, ensuring that these are set up and resourced appropriately by the business and tracked to conclusion;
- Regularly review and analyse MI to determine the changing risk profile for regulatory risks
- Provide accurate MI to Boards, Committees, and other bodies
- Manage the Whistleblowing process; ensuring timely allocation of new cases and continued maintenance of existing cases
- Provide regular Whistleblowing MI to senior stakeholders, committees and forums
You will need:
- • Previous regulatory monitoring experience (ideally a minimum of 3-5 years)
- • Ideally worked in a financial services firm authorised by the FCA
- • Educated to degree level or equivalent
Dixons Carphone is Europe’s number one electrical and telecommunications retailer and services company, with more than 40,000 colleagues across nine countries, including the UK and Ireland. Every day, we use our people’s expertise to reach out and help new customers. What’s more - we’re exploring extraordinary new markets, from wellness to security, so that in an ever more connected and constantly changing world, we can offer our customers the most comprehensive service.
It’s an exciting time to join us and find yourself a place in our growing success story, apply now.