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Compliance Manager - Monitoring in Bristol at Computershare, Inc

Date Posted: 9/1/2018

Job Snapshot

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Job Description

Compliance Manager - Monitoring
Competitive Salary
Employee Share Plan Competitive Company Pension Flexible Working Hours 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 people and develop their career in a fast paced, demanding environment.

At Computershare we’re going through one of our largest periods of change in recent years. We’ve got ambitious targets and we’re making great progress, but we’re only just getting started. We employ over 15,000 people across 90 offices around the world. Globally, we provide services in over 20 countries to more than 16,000 clients and their 125 million customers. Our European headquarters are in Bristol, where we have 2,000 employees. We operate a 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 Compliance Team within Computershare’s three lines of defence operating model.

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

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

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

Role Holder Responsibilities


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

• Scope and plan monitoring reviews of CIS business areas in line with own subject matter expertise and the risk based Compliance Monitoring Programme.

• Complete testing activity through investigation, review and analysis across CIS’s operational activities to assess compliance with prevailing regulatory requirements, internal policies and best practice.

• Identify and assess risks arising in the business making reference to prevailing regulatory requirements and best practice.

• Liaise with all levels of staff across the business during the course of testing activity.

• Produce objective, timely and well-presented monitoring reports and gain 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 address monitoring findings

• Liaison with colleagues across Control & Governance, Compliance and Audit functions where required.

• Provide training and guidance for less experienced team members where relevant.


Desired Qualifications

• Financial Services Compliance qualifications e.g. CISI Investment Operations Certificate, ICA Certificate/Advanced Certificate in Compliance.

 Desired Experience

• Minimum of 3 years’ experience within a compliance role, ideally compliance 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 and regulated firm.

• Audit or Accountancy experience is advantageous.

• Data Protection Act / GDPR experience is advantageous.

Desired Competencies

• Strong interpersonal, presentation and communication skills: both written 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 and supervision.

• Proven organisational and time management capabilities.

• Resilience to deliver under pressure.

Skills and Behaviours



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 and punctual reports, delivers presentations, shares information and ideas with others, has good listening skills.

Compliance Management      

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


Meets commitments, works independently, accepts accountability, handles change, sets personal standards, stays focused under pressure, meets attendance/punctuality requirements.


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

Self Development 

Seeks out and accepts feedback, is a proactive learner, takes on tough assignments to improve skills, keeps knowledge and skills up-to-date, turns mistakes into learning opportunities.





Computershare, we believe that having a culture of inclusion is essential in delivering good results. Attracting, retaining and developing a diverse workforce where employees feel valued, respected and empowered allows people to reach their full potential. As a business this diversity helps us to better reflect and understand our customers’ needs to allow us to drive better outcomes.

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



All successful candidates will be required to undergo the Computershare Pre-Employment Screening Process before commencing employment. Employment will be subject to satisfactory clearance on background checks including Identification, Passport Validation, Finance, Qualification, Employment / Personal referencing and Criminal Record Basic Disclosure checks.


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