Head of Compliance Monitoring, Newcastle upon Tyne
Location:
Newcastle upon Tyne, United Kingdom
Job Category:
Banking
EU work permit required:
Yes
Job Reference:
15942_1742470386
Job Views:
51
Posted:
20.03.2025
Expiry Date:
04.05.2025
Job Description:
Overview: Do you have experience working in a compliance or assurance function within financial services, and designing and completing monitoring plans? Our client, a financial services firm, has a fantastic opportunity for the Head of Compliance Monitoring to join the team on a permanent basis in Newcastle.
Skills/Experience:
* Experience of working in a compliance or assurance function within financial services.
* Experience designing and completing monitoring plans.
* Strong knowledge of the FCA handbook and the financial services regulatory framework.
* Strong communication and stakeholder management skills.
* Positive, self-motivated, with a can-do attitude to problem solving.
* Degree educated and/or qualifications from recognised industry providers such as CISI, ICA or FSA.
Core Responsibilities:
* Lead and manage the Compliance Monitoring team to ensure effective oversight of all compliance activities.
* Design the annual compliance monitoring plan and oversee monitoring activities, including scoping, fieldwork, documentation, and reporting.
* Prepare and present detailed reports on compliance activities and findings to the Board and Committees.
* Assist in gathering internal information in response to regulatory returns and requests.
* Complete due diligence on third parties.
* Contribute to robust and effective compliance controls within the firm.
* Collaborate with other departments to foster a culture of compliance.
* Support the Head of Compliance and Deputy Head of Compliance with project work as required.
Benefits:
* A highly competitive salary
* Wider Benefits package
Core-Asset Consulting is an equal opportunities recruiter and we welcome applications from everyone irrespective of age, disability, gender, gender identity or expression, race, colour, ethnic or national origin, sexual orientation, religion or belief, marital/civil partner status or pregnancy.
To apply for this vacancy, applicants must be eligible to work in the UK in accordance with the Immigration, Asylum and Nationality Act 2006.
At Core-Asset, we’re committed to protecting and respecting your privacy. Our privacy statement explains when and why we collect personal information about people who engage with our services, how we use it, the conditions under which we may disclose it to others, and how we keep it secure. We may change this policy from time to time, so please check this policy occasionally to ensure that you’re happy with any changes.
By engaging with us (either by applying for a job we’re advertising, registering through our website, or getting in touch with our business), you’re agreeing to be bound by this policy.
Core-Asset Consulting is committed to protecting the privacy of our candidates, clients, and website users. For further information, please refer to our full Privacy Statement available on our website http://www.core-asset.co.uk/about-core-asset/privacy-statement.
Core-Asset Consulting offers specialist recruitment services to asset management, accounting & finance, asset servicing, legal, and the wider financial services sector in Scotland.
#J-18808-Ljbffr