Our client, a global information technology company, is looking for a Head of Compliance Monitoring with previous experience in compliance monitoring for retail investments or pensions. This is a new role that will be central to the organisation's growth strategy. The role primarily focuses on leading the delivery of one of the client’s core strategic deals, while also contributing to the development of their financial outsourcing services.
The position requires working on-site at either London or Reading 2-3 days per week.
Responsibilities:
* Design an annual monitoring plan covering all relevant areas in accordance with regulatory expectations and client requirements.
* Prioritise higher risk areas after discussions with senior management.
* Develop detailed monitoring programmes across relevant areas and update them as regulations or SOPs change.
* Coordinate with relevant teams and allocate staff (UK & offshore) to perform monitoring activities.
* Review findings to distinguish between system issues and regulatory breaches, and determine if breaches need immediate reporting.
* Investigate breaches and issues, recommend remedial actions, and enhance SOPs and controls.
* Discuss findings with management and prepare reports.
* Ensure follow-up actions are implemented effectively.
* Manage, mentor, and train UK and offshore teams.
* Assist with client visits.
Mandatory Skills:
* Experience in compliance monitoring, external or internal audit covering regulatory requirements in retail investments and pensions.
* Staff management experience, including resource allocation.
Desirable Skills & Knowledge:
* Deep regulatory knowledge and understanding of its application across business activities.
* Ability to work independently and under pressure.
* Organized and efficient work style.
* Strong written and verbal communication skills.
* Credible, assertive, and tactful demeanor.
* Discretion, resilience, and professionalism.
* Effective influencing and persuasion skills, with the ability to engage internal stakeholders and regulators.
Benefits:
Competitive salary, comprehensive benefits package, and ongoing training and development opportunities.
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