- Bristol, England, United Kingdom
- Hybrid
- Senior
Lead and manage the Operational Oversight function, overseeing regulatory compliance and driving continuous improvement within a leading financial services organisation.
Responsibilities
- Lead and manage the Operational Oversight function, allocating workloads, monitoring performance, and developing team capability through coaching, mentoring, and professional development.
- Oversee regulatory compliance activities, including the management, investigation, escalation, and remediation of CASS, COBS, DISP, and SUP breaches.
- Design and deliver risk-based governance review programmes to identify regulatory risks, strengthen controls, and drive continuous improvement.
- Manage the closure of Internal Audit and Compliance Monitoring findings, provide regulatory MI to governance forums, and deliver training to enhance compliance awareness across the business.
- Oversee key regulatory monitoring frameworks, including financial sanctions screening, Market Abuse Regulation (MAR) alert reviews, and Personal Account Dealing (PAD) compliance.
Requirements
- Bachelor’s Degree or equivalent