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Compliance Monitoring Manager Date Added 13/01/2020

Executive Search Job

Juice Personnel have an exciting opportunity for an experienced Compliance Monitoring professional to join our Sale headquartered Financial client.


Sector: Personnel
Type: Executive Search
Location: Sale, Cheshire
Salary: £40,000

Key Responsibilities

  • Encourage best practice by ensuring staff comply with the information security principles, policies and procedures
  • Monitor workplace practice in line with these policies and procedures and deal firmly with any instances of non-compliance
  • To conduct compliance monitoring activity
  • Produce internal reports on compliance
  • Planning, reviewing and reporting on the company’s level of compliance with the regulators rules and guidance, including the systems and controls in operation to ensure compliance and mitigation of conduct risk
  • Responsible for the planning of compliance monitoring activities, including auditing and specific monitoring of internal departments and other businesses within the Group
  • Responsible for the creation of scoping documents, areas of focus and key conduct risks to be reviewed
  • Conduct a robust analysis of the documented policy and adherence by the business areas against the appropriate regulation, identifying any potential conduct risks and weaknesses

Key Skills and Experience

  • Ability to complete audits objectively and based on evidence
  • Proactively develop and maintain relevant technical knowledge (regulatory and industry issues)
  • Broad understanding of FCA rules and regulatory requirements
  • Good understanding of COB, MCOB & ICOB rules
  • Good understanding of T&C requirements
  • Awareness of financial crime & money laundering risks

Essential qualifications

  • CeMAP (or equivilant) 

Personal Qualities

We are keen to speak with Compliance professionals in the Finance industry, who have up to date knowledge of FCA rules and other relevant regulatory developments.

Additional information

  • Sale based
  • Full time, permanent role
  • £40,000 per annum
  • 27 days holiday
  • 7% pension contributions
  • Life assurance
  • Private Medical Insurance

This vacancy is being advertised on behalf of Juice Personnel who is operating as an employment agency.

Please note: As Juice Personnel are a reputable recruitment agency; we do not submit your CV to the end client until you have met with us.

Your application will be sent to one of our consultants for review, at which stage we will be in touch to discuss your details further. If you do not hear from us within 48 hours your application has not been successful.

Closing Date

13/03/2020, 12:00


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Fiona Baker - Registered Candidate

"Juice Personnel, is an extremely friendly, down to earth recruitment agency, whom I have used twice in my young professional career. The first being back in 2010, when I had first graduated and a little lost in the world of employment. They secured me a great temporary job, in which I had requested and in turn, developed in to a full time position. Since then, after moving on, traveling the world, I again found myself in the position of looking for a career change. I instantly remembered the amazing service and supportive nature of Juice and called them to help me find my current position. I cannot thank them enough for their helpful, friendly and supportive role, which they took in finding my new career and could not recommend them enough to others! Thank you Bex and the rest of Juice for all your efforts!"

Hannah Raison - Permanent Candidate

"I found Juice Personnel and their staff to be extremely helpful with my job search. I was kept fully updated on any changes to my application and on any other potential vacancies. I have recommended Juice to friends colleagues and would recommend their services again. Great team of people."

Kirsty Hewson - Long term temporary worker

"I have worked for Juice Personnel now for 15 years. They have supplied me with work for 95% of that time, when requested. If I have had to give back word on shifts, as long as I have I gave good notice, they have always understood and not chastised me. The staff have always been respectful, as have I, and I have always have had queries handled swiftly and to my satisfaction. Thank you to all staff for your professionalism and most importantly, paying on time all the time with no hassle. It's a pleasure to work for an agency you respect, and are respected in return. A real team spirit. I would recommend anyone to register with this agency, whether you use it or not, they will always be there when needed."

John Keating - Class 1 Driver

""The staff at Juice are so friendly and really committed to finding work that really suits you. Their communication is great and I receive regular emails detailing new vacancies. If you are thinking of registering with an employment agency, don't hesitate to go with Juice - you won't be disappointed.""

Carole Shaw - Temporary worker

"In terms of feedback, you kindly found me something in the interim and were always very efficient and helpful if I had an queries relating to pay, terms, start and end dates, ect. You also kept in touch with me by telephone and via a job board email, which was helpful, in helping me find work. Overall, I would have no hesitation in recommending your company to anyone and wish you well in your future endeavours."

Sam Bingley - Temporary Worker

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