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 organization’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 to ensure coverage across all areas, aligned with regulatory expectations and client requirements.
* Prioritize higher risk areas after discussions with senior management.
* Develop detailed monitoring programmes across relevant areas, ensuring updates when regulations or SOPs change.
* Coordinate with relevant areas to allocate staff (UK & offshore) for monitoring activities.
* Review findings, differentiating between system issues and regulatory breaches, and determine if breaches need immediate reporting to clients or regulators.
* Investigate causes of breaches and issues, recommend remedial actions, and enhance SOPs and controls.
* Discuss findings with management and prepare reports.
* Ensure follow-up actions are agreed upon and implemented.
* Manage, mentor, and train UK and offshore teams.
* Assist with client visits.
Mandatory Skills
* Experience in compliance monitoring or internal/external audit with regulatory coverage in retail investments and pensions.
* Previous staff management experience, including resource allocation.
Desirable Skills & Knowledge
* Expertise in regulatory knowledge and its application across relevant business activities.
* Ability to work independently and under pressure.
* Organized and efficient.
* Strong verbal and written communication skills.
* Credible, assertive, discreet, tactful, and resilient.
* Professional demeanor with influencing and persuasion skills.
* Ability to engage with internal stakeholders and financial regulators effectively.
Benefits
As a Head of Compliance Monitoring, you will receive a competitive salary, a comprehensive benefits package, and training opportunities for professional development.
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