Regulatory Assurance/Monitoring Manager

Huntswood CTC Ltd
£45k - £50k pa
12 Apr 2018
21 Apr 2018
Contract Type
Full Time

Regulatory Assurance/Monitoring Manager

Location - Stratford Upon Avon

Salary - £45k - £50k +generous benefits

Experienced Regulatory Assurance/Monitoring Manager is required for a leading insurance company to assist design and deliver an efficient risk-based 2nd line conduct regulatory assurance strategy. You will have responsibility to lead, manage and coach the team to deliver the annual plan in order to provide assurance over key regulatory conduct risks and customer outcomes.

In order to fulfil this role, it is important that you have demonstrable experience in a compliance monitoring or regulatory assurance management position within the regulated financial services industry.


  • Develop, monitor and manage the delivery of the Conduct Regulation Assurance Operational Plan to ensure the annual plan is met and that it provides assurance over key regulatory conduct risks and customer outcomes.
  • Lead, manage, motivate and develop reports so that they know what is expected, are able to maximise their contribution to business objectives and realise their potential.
  • Review, quality assure and sign off each stage of the assurance process to ensure Assurance Specialist work is factually accurate, consistently produced in line with quality standards and that the outputs add value and provide assurance to management.
  • Develop and maintain a conduct focused risk-based environment to ensure the annual Conduct Regulation Assurance Plan considers all regulatory conduct risks and customer outcomes.
  • Support Senior Management in discussions and Board Risk/wider Committee reporting relative to outputs from assurance activity.
  • Recommend and implement procedural changes and continuous improvement to assurance methodologies to optimise efficiency and added value.
  • Build and maintain relationships with compliance, business stakeholders and Industry and professional bodies to ensure the effective delivery of objectives.
  • Deliver short term / one-off projects and activities as required by and to the standards and outcomes agreed with Conduct Regulation Assurance Manager.


Educated to degree level and professionally qualified to at least ACII level or equivalent appropriate professional or audit qualification.

Experience and Knowledge

  • Good technical understanding of assurance (audit), risk and compliance including risk identification and control assessment
  • Knowledge and experience of the FCA Handbook and conduct regulation
  • Evidence of leading and developing a team within the financial services sector - ideally insurance or life & pensions
  • Experience of developing effective relationships with senior stakeholders

This company offer a modern relaxed working environment with continued career progression opportunities as well as a generous salary and benefits package. If you have the skill sand experience needed, then please pass on an up to date CV for immediate consideration.

This job was originally posted as

Similar jobs

Similar jobs