Audit manager Work, Jobs in Wooburn, Bkm (with Salaries)

Compliance Manager
Neilson Financial Services —Windsor
- Hybrid work
- Team management
Quick apply
9d
Management Systems & Audit Manager
Northrop Grumman —New Malden
- Hybrid work
- Analysis skills
- Continuous improvement
- Team management
- Employee assistance programme
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
External London Audit Manager
Pwc UK —London
- Full-time
- Hybrid work
- Data analysis skills
- Team management
Compliance and Contracts Manager
ADS Group Ltd —Farnborough
- Full-time
- Travel
- Communication skills
4d
Risk Manager
SCS Railways —London
- Engineering
Transport and Compliance Manager
Lanes Group —Colnbrook
- £38,000 a year
- Full-time
- Organisational skills
- Communication skills
Quick apply
13d
Global Medical Governance Excellence Lead
GE HEALTHCARE —Chalfont Saint Giles
- Microsoft Powerpoint
- Doctoral degree
- PMP
14d
Head of Governance and Performance (SCS PB1)
Home Office —London
- £86,000 - £96,000 a year
- Full-time
- Management
- Analysis skills
- Presentation skills
12d
Estates & Compliance Lead - 12 Month FTC
BRE —Watford
- £45,000 - £55,000 a year
- Continuous improvement
- Contracts
- In-person
- Free parking
Quick apply
Commercial Risk, Conduct & Governance Lead
British Gas —Windsor
- Continuous improvement
- Organisational skills
- Financial services
3d
EA to Operations Director, Head of Legal and the Head of Internal Audit
Tearfund —London
- £37,160 a year
- Full-time
- Hybrid work
- Administrative experience
- Project management
- Organisational skills
Consultant Biomedical Scientist and Clinical Audit Lead, Cytology Department
Health Services Laboratories (HSL) —London
- Up to £102,007 a year
- Full-time
- Training & development
- Annual leave
- Employee assistance programme
13d
Technical Assurance Manager (Audits)
SCS Railways —London
- Microsoft Office
- Analysis skills
- Continuous improvement
Safety Compliance Team Leader
Campions —London
- £40,000 - £45,000 a year
- Monday to Friday
- Hybrid work
- Analysis skills
- Continuous improvement
- Team management
- Annual leave
- Employee assistance programme
Quick apply
6d
Head of Merchant Risk - Europe
Global Payments UK Ltd —London
- Team management
- Analytics
Quick apply
Head of Information Governance
Ardonagh Specialty —London
- Hybrid work
- No degree
- Annual leave
Quick apply
Compliance & Finance Manager
JSM Group —Potters Bar
- Microsoft Word
Quick apply
NFA (Non-Financial Assurance) Manager - B&CM
Pwc UK —London
- Full-time
- Hybrid work
- Team management
12d
Lead Internal Auditor – Finance and Operations
SoftwareOne —London
- Full-time
- English
- Continuous improvement
- Mentoring
3d

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Compliance Manager

Neilson Financial Services -
Windsor

Quick apply

Job details

Permanent
9 days 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 wooburn, bkm

Compliance Manager

Management Systems & Audit Manager

Group Quality and Compliance Manager

External London Audit Manager

Compliance and Contracts Manager

Risk Manager

Transport and Compliance Manager

Global Medical Governance Excellence Lead

Head of Governance and Performance (SCS PB1)

Estates & Compliance Lead - 12 Month FTC

Commercial Risk, Conduct & Governance Lead

EA to Operations Director, Head of Legal and the Head of Internal Audit

Consultant Biomedical Scientist and Clinical Audit Lead, Cytology Department

Technical Assurance Manager (Audits)

Safety Compliance Team Leader

Head of Merchant Risk - Europe

Head of Information Governance

Compliance & Finance Manager

NFA (Non-Financial Assurance) Manager - B&CM

Lead Internal Auditor – Finance and Operations

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