Compliance Manager - Monitoring
Bristol, GB, GB
17d ago


Compliance Manager -Monitoring


Competitive Salary + Employee Share Plan + Competitive Company Pension + Flexible WorkingHours + Onsite Gym, Coffee Shop and Cafeteria + Excellent Working Culture

Computershare are a Financial Services company based in South Bristol,looking to recruit keen, dynamic people to join us, we want to invest in peopleand develop their career in a fast paced, demanding environment.

At Computershare we’re going through one of our largest periods ofchange in recent years. We’ve got ambitious targets and we’re making greatprogress, but we’re only just getting started.

We employ over 15,000 peopleacross 90 offices around the world. Globally, we provide services in over 20countries to more than 16,000 clients and their 125 million customers.

OurEuropean headquarters are in Bristol, where we have 2,000 employees. We operatea number of different types of businesses such as Share Plan Management,Childcare Vouchers Service and Mortgage Administration Services.

Role Overview

This is a monitoring role within the second line of defence ComplianceTeam within Computershare’s three lines of defence operating model.

Responsibilities include monitoring and reporting in relation toComputershare Investor Services (CIS) Operational areas to assess compliancewith regulatory requirements and internal policies / procedures.

The role requires scoping, planning and delivery of ComplianceMonitoring reviews as part of the overall Compliance Monitoring programme toprovide assurance to Senior Management and drive improvements in respect ofregulatory standards throughout CIS.

  • The key areas of regulation applicable to CIS are the FCA Principles forBusiness and associated rules and guidance e.g. COBS, CASS, SYSC, APER, TCand DISP;
  • Data Protection Act (DPA); Anti-Money Laundering (AML) and UKindustry best practice guidelines.

    Role Holder Responsibilities

    Summary of the specific duties that the role holder is responsible foras follows :

  • Scope and plan monitoring reviews of CIS business areas in line withown subject matter expertise and the risk based Compliance MonitoringProgramme.
  • Complete testing activity through investigation, review and analysisacross CIS’s operational activities to assess compliance with prevailingregulatory requirements, internal policies and best practice.
  • Identify and assess risks arising in the business making reference toprevailing regulatory requirements and best practice.
  • Liaise with all levels of staff across the business during the courseof testing activity.
  • Produce objective, timely and well-presented monitoring reports andgain approval for distribution to senior management and CIS Directors.
  • Gain commitment from the business to address any issues identified.
  • Assess the completeness and accuracy of actions taken to addressmonitoring findings
  • Liaison with colleagues across Control & Governance,Compliance and Audit functions where required.
  • Provide training and guidance for less experienced team members whererelevant.
  • Desired Qualifications

  • Financial Services Compliance qualifications e.g. CISI InvestmentOperations Certificate, ICA Certificate / Advanced Certificate in Compliance.
  • Desired Experience

  • Minimum of 3 years’ experience within a compliance role, ideallycompliance monitoring, for an FCA authorised and regulated firm.
  • A strong understanding of the FCA Handbook - in particular COBS, CASS,SYSC, SUP, APER and AML, obtained from working in an FCA authorised andregulated firm.
  • Audit or Accountancy experience is advantageous.
  • Data Protection Act / GDPR experience is advantageous.
  • Desired Competencies

  • Strong interpersonal, presentation and communication skills : bothwritten and verbal.
  • Compelling influencing and negotiation skills.
  • Excellent analytical skills with high levels of attention to detail.
  • Proactive, self-starter who can work with minimal direction andsupervision.
  • Proven organisational and time management capabilities.
  • Resilience to deliver under pressure.
  • Skills and Behaviours

    Adaptability / flexibility

    Adapts to change, is open to new ideas, takes on new responsibilities,handles pressure, adjusts plans to meet changing needs.


    Communicates well both verbally and in writing, creates accurate andpunctual reports, delivers presentations, shares information and ideas withothers, has good listening skills.

    Compliance Management

    Ensures that all codes, standards and / or requirements (regulatory / legal,contractual, internal policy, occupational and other relevant regulations) thatgovern the position and reporting positions (if applicable) are adequate,current, properly communicated and fully complied with.


    Meets commitments, works independently, accepts accountability, handleschange, sets personal standards, stays focused under pressure, meetsattendance / punctuality requirements.


    Is attentive to detail and accuracy, is committed to excellence, looksfor improvements continuously, monitors quality levels, finds root cause ofquality problems, owns / acts on quality problems.

    Self Development

    Seeks out and accepts feedback, is a proactive learner, takes on toughassignments to improve skills, keeps knowledge and skills up-

    to-date, turnsmistakes into learning opportunities.


    Computershare, we believe that having a culture of inclusion isessential in delivering good results. Attracting, retaining and developing adiverse workforce where employees feel valued, respected and empowered allowspeople to reach their full potential.

    As a business this diversity helps us tobetter reflect and understand our customers’ needs to allow us to drive betteroutcomes.

    All employees are offered 25 days holiday, competitive pension scheme,fantastic shareholder incentive plan and a flexible employee benefits scheme.

    All successfulcandidates will be required to undergo the Computershare Pre-EmploymentScreening Process before commencing employment.

    Employment will be subject tosatisfactory clearance on background checks including Identification, PassportValidation, Finance, Qualification, Employment / Personal referencing andCriminal Record Basic Disclosure checks.

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