Senior Operational Oversight Manager
Core
Lead the Operational Oversight function to influence regulatory governance, manage compliance breaches, and drive continuous improvement in a financial services organization.
Role type
Senior Operational Oversight Manager
Builds
Regulatory governance frameworks, compliance monitoring systems, and team capability
Domain
Financial Services / Regulatory Compliance
Required skills
Regulatory governance, Operational oversight, Risk management, CASS compliance, Conduct Risk, Consumer Duty, FCA handbook knowledge, Internal Audit management, Financial sanctions screening, Market Abuse Regulation (MAR), Personal Account Dealing (PAD)
Preferred skills
Professional Qualifications (IOC, Global Operations Diploma), Computershare systems knowledge
Technologies
FCA handbook, Computershare systems
Responsibilities
Lead and manage the Operational Oversight function, allocate workloads, and develop team capability. Oversee regulatory compliance activities including investigation and remediation of CASS, COBS, DISP, and SUP breaches. Design and deliver risk-based governance review programmes. Manage closure of Internal Audit and Compliance Monitoring findings. Oversee key regulatory monitoring frameworks including sanctions screening and MAR alert reviews. Act as the firm's subject matter expert for regulatory stakeholders.
Seniority
Senior, hands-on IC