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Compliance Monitoring Senior Manager

Please Note: The application deadline for this job has now passed.

Role Responsibility

Provide support to the Compliance Monitoring Director in managing the Compliance Monitoring team and delivering relevant oversight plans, providing an effective risk and rules based Compliance monitoring service to SS&C UK, with potential to include Ireland and Luxembourg businesses
Assist SS&C in meeting its own regulatory obligations and the relevant commercial obligations SS&C has with its' clients, promoting high ethical standards within SS&C

Responsibilities will include:

  • Lead the delivery of SS&C’s Compliance Monitoring programme in conjunction with the Director of Compliance Monitoring and the Senior Specialist, Compliance Monitoring
  • Manage three UK based Compliance Monitoring staff
  • Ensure and coordinate delivery of a variety of Compliance  monitoring reviews and reports across the team as part of second line of defence activities, to support the continued regulatory compliance of  SS&C UK, Ireland and Luxembourg entities
  • Conduct thorough and comprehensive Compliance monitoring reviews of all aspects of the relevant SS&C businesses, encompassing a review of the design and operational effectiveness and adequacy of departmental procedures and controls and the compliance of activities with relevant regulation and legislation
  • Support the Director Compliance Monitoring in delivery of the Quarterly Compliance and Controls Monitoring report (QMR)
  • Provide support and assistance in preparation for and delivery of the Quarterly Compliance and Controls Forum (QCCF).
  • Engage with SS&C client Firms as necessary on Compliance Monitoring topics. This would include presenting at governance forums (inc. the QCCF), holding one-on-one meetings and answering queries in a timely and comprehensive fashion.
  • Support the development of individuals in the Compliance Monitoring team, both the direct reports in the UK and the team members in India
  • Provide support to other members of the Risk & Compliance team when required
  • Oversee the development, maintenance and operation of the Compliance Monitoring Risk Assessments and resulting monitoring plans.
  • Undertake Compliance projects and any ad hoc additional tasks as required by the Director, Compliance Monitoring

 

The Ideal Candidate

Candidates will have the following knowledge, skills and experience:

  • Compliance Monitoring, Risk Assurance, Oversight and/or Internal Audit experience within a Financial Services or Information Technology organisation
  • Previous people management and/or leadership experience
  • Good understanding of Corporate Services (Finance, HR, Legal, Risk and Compliance etc) and Information Technology/Information Security related key risks, controls and best practice governance for consideration in the completion of second line assurance reviews
  • Good understanding of the rules and regulations and how they apply to the relevant SS&C business ( FCA, HMRC, AML and JLMSG, relevant UK & EU legislation)
  • Excellent attention to detail, inter personal and organisational skills

Flexibility to work solo or as a member of a team within a structured team environment

The following skills are desirable, not essential:

  • Good understanding of SS&C UK operational services including associated IT systems and products
  • Good understanding and working knowledge of SS&C standards and policies
  • Wealth Management knowledge and experience
  • Understanding of CSSF Luxembourg and CBI Ireland regulations
     

DST

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