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Location: Hybrid – 2/3 days in London or Reading
As the Head of Compliance Monitoring, you will:
1. Design an annual monitoring plan to ensure all areas are covered in frequency according to regulatory expectations and client requirements.
2. Develop or oversee the development of detailed monitoring programmes across all relevant areas, ensuring updates when regulations or SOPs change.
3. Coordinate with relevant departments to allocate staff (both UK and offshore) for monitoring activities.
4. Review findings to distinguish between system issues and regulatory breaches, and determine if breaches need immediate reporting to clients or regulators.
5. Investigate causes of breaches and issues, propose remedial actions, and enhance SOPs and controls.
6. Manage, mentor, and train UK and offshore teams.
7. Assist in client visits.
8. Qualifications: Level 4 Diploma in Financial Planning or higher.
9. Experience in compliance monitoring within the wealth management sector.
10. Experience with audits related to regulatory requirements, retail investments, and pensions.
11. Team management experience, including resource allocation.
If you would like to apply, please send your CV to [emailprotected] with ‘Head of Compliance Monitoring’ in the subject line.
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