Audit manager Work, Jobs in Eton, Brk (with Salaries)

Compliance Manager
Neilson Financial Services —Windsor
- Hybrid work
- Team management
Quick apply
14h
Senior Manager, Internal Audit
CFA Institute —London
- £80,000 - £90,000 a year
- Full-time
- AI
- Annual leave
Head of Policy, Reward & Compliance
Commonwealth Secretariat —London
- £84,705 a year
- Full-time
- Analysis skills
- Human resources
- Analytics
Compliance Monitoring & Oversight Director
Boston Consulting Group —London
- Full-time
- Continuous improvement
- Mentoring
- AI
Senior Risk Manager
SCOR —London
- Analysis skills
- Project management
- Bachelor's degree
Manager, Compliance
Intercontinental Exchange Holdings, Inc. —London
- £89,000 - £127,000 a year
- Full-time
- Master's degree
- Project management
- Bachelor's degree
HR Governance & Operations Manager
SCOR —London
- Human resources
- Communication skills
- Sick pay
Internal Audit Manager (100% remote)
Tether Operations Limited —London
- Full-time
- Remote
- Analysis skills
- Bachelor's degree
- Communication skills
Non-Executive Director and Chair of Audit and Risk - Loddon Homes
Wokingham Borough Council —Wokingham
- £4,000 a year
- Part-time
- Leadership
Group Quality and Compliance Manager
Kimbolton Lodge Ltd —Uxbridge
- £50,000 - £60,000 a year
- Full-time
- Hybrid work
- Continuous improvement
- Travel
- Training & development
Quick apply
Senior Audit Manager
Sopher + Co —Borehamwood
- Full-time
- Hybrid work
- Business development
- Supervising experience
- Bachelor's degree
- Employee assistance programme
- Employee discount
Quick apply
14d
Senior Manager, Internal Audit
CHEP —London
- Full-time
- Hybrid work
- Travel
- Analytics
- Employee assistance programme
Regulatory and Compliance Manager
Malloy Aeronautics —Maidenhead
- Continuous improvement
- Communication skills
- Annual leave
- Sick pay
8d
Head of Governance, Risk and Assurance
Ambitious about Autism —Feltham
- £80,000 a year
- Full-time
- Hybrid work
- Contracts
Governance, Risk and Compliance Manager
Artificial Labs Ltd —London
- Hybrid work
- Financial services
- AI
- Employee assistance programme
- Life insurance
Senior Manager, Global Compliance & Ethics
CFA Institute —London
- £80,000 - £90,000 a year
- Full-time
- Analysis skills
- Communication skills
- Analytics
- Annual leave
Director, Finance Business Partnering – International Commercial & Pandemic
CSL Seqirus —Maidenhead
- Full-time
- Business development
- Team management
- Leadership
Group Governance and Risk Manager
LHC Procurement Group —Denham South
- From £66,200 a year
- Full-time
- Management
- Computer literacy
- Microsoft Office
Audit & Accounts Manager, Kennington, London
Hanami International —London
- £55,000 - £75,000 a year
- Full-time
- Flexible schedule
Quick apply
Internal Audit Manager
Macquarie Group Limited —London
- Full-time
- Hybrid work
- Financial services
- Communication skills
- Annual leave
- Work from home
7d

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Compliance Manager

Neilson Financial Services -
Windsor

Quick apply

Job details

Permanent
14 hours ago

Qualifications

Financial Conduct Authority guidelines
Report generation
NFS
Process improvement
Compliance audits
Compliance monitoring
Organisational compliance experience
Team management
Risk management
Management reporting
Fraud prevention and detection
Financial compliance & regulatory experience
Corporate regulatory compliance oversight

Full job description

The Compliance Manager is responsible for the day-to-day delivery of Neilson Financial Services’ (NFS’) Compliance Activity Plan, to ensure proportionate management of NFS’ legal and regulatory risk.

The Compliance Manager will be expected to conduct 2nd Line of Defence risk management activity, manage the Financial Promotion Approvals team, provide regulatory advice to the business, manage incidents, oversee and promote an effective compliance culture and make recommendations to improve the strength and efficiency of business processes. The Compliance Manager is responsible for supporting the effective management, monitoring and oversight of compliance, conduct and operational risk across the business.

The role will have particular responsibility for compliance monitoring, financial promotions approval oversight, data security oversight, operational risk oversight, control testing and assurance reporting. The Compliance Manager will also provide meaningful risk MI and governance reporting to senior management and relevant governance committees.

Main Duties & Responsibilities:

Manage the Financial Promotions Compliance Team, overseeing day-to-day performance, output, and professional development of team members.
Maintain NFS’ risk dashboards and manage KRIs, escalating functional risks performing outside of risk appetite.
Provide Compliance sign off for financial promotions, external communications, product collateral, project work packages, internal process documentation and scripts.
Manage incidents in line with NFS’ incident management policy, devising a response plan and tracking actions through to completion.
Represent NFS at regular partner meetings, compiling and presenting partner MI as appropriate.
Devise, review and amend compliance owned policies and procedures
Design, scope and conduct Compliance Monitoring audits, in line with the Compliance Monitoring Plan.
Oversee the maintenance of the Conflicts of Interest and Gifts registers.
Conduct counter-fraud checks and investigations, in line with NFS’ fraud response plan.
Provide accurate, considered and timely responses to ad hoc compliance related queries from business stakeholders.
Provide an opinion on the design and effectiveness of the Compliance Activity Plan and help manage its day-to-day implementation.
Compile appropriate and informative reports, papers and MI for the consideration of the Audit and Risk Committee.
Maintain an excellent and up-to-date knowledge of NFS’ products, systems and processes.
Provide expert compliance guidance on new business initiatives to ensure legal and regulatory risks are understood.
To undertake compliance and data protection due diligence and ongoing monitoring of new partnerships/outsourcing/affiliate arrangements
Keep up to date with upcoming changes to the regulatory environment, contributing towards the Compliance Team’s horizon scanning activity.

Knowledge & Experience:

At least 5 years’ experience working within the insurance sector (either insurer or intermediary) in a Compliance, Risk and/or Governance role or for a regulatory body in the field of insurance.
Experience managing people as Team Manager, Team Leader or similar.
Excellent knowledge of the FCA Handbook and the FCA regulatory framework.
Experience conducting compliance monitoring audits/reviews
Experience reviewing and approving financial promotions or customer communications
Proven knowledge of insurance products. (a qualification in either insurance or compliance desired)
Experience of developing and maintaining compliance policies and procedures.
A good understanding of enterprise risk management and internal controls.
Experience identifying, assessing and reporting operational and compliance risks.

Quick apply

Refine Your Search

audit manager jobs in eton, brk

Compliance Manager

Senior Manager, Internal Audit

Head of Policy, Reward & Compliance

Compliance Monitoring & Oversight Director

Senior Risk Manager

Manager, Compliance

HR Governance & Operations Manager

Internal Audit Manager (100% remote)

Non-Executive Director and Chair of Audit and Risk - Loddon Homes

Group Quality and Compliance Manager

Senior Audit Manager

Senior Manager, Internal Audit

Regulatory and Compliance Manager

Head of Governance, Risk and Assurance

Governance, Risk and Compliance Manager

Senior Manager, Global Compliance & Ethics

Director, Finance Business Partnering – International Commercial & Pandemic

Group Governance and Risk Manager

Audit & Accounts Manager, Kennington, London

Internal Audit Manager

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