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Head of Compliance Assurance (FTC - Mat Cover), Slough
Client: Market Talent Ltd
Location: Slough, United Kingdom
Job Category: Other
EU work permit required: Yes
Job Views:
2
Posted:
26.08.2025
Expiry Date:
10.10.2025
Job Description:
Our client, a City-based Multi Asset fund manager, is seeking a Senior Compliance Assurance & Monitoring lead to cover a 12-month maternity leave. The firm manages over £15 billion AUM and employs approximately 200 staff in the UK. The role involves 70% BAU and 30% programme delivery. You will lead a team of 2 and oversee the Compliance Monitoring Plan across various entities, assist with Enterprise Risk tasks, and contribute to the firm's ICARA submission. The ideal start date is within 4 to 10 weeks, no later than 01.11.2025. Candidates should demonstrate current or past staff leadership skills and experience in buy-side, investments, or funds domains.
Overview
The Compliance Monitoring team operates within the second line of defence, providing assurance to the Board on systems and controls through monitoring, reviews, and stakeholder engagement. The Head of Compliance Monitoring manages the team, oversees the monitoring framework, and ensures regulatory and internal policy compliance. The role involves risk management, including strategic, operational, financial, and regulatory risks, and supporting the Compliance Advisory team and other internal committees.
Key responsibilities include designing and implementing a risk-based monitoring programme, overseeing risk identification and mitigation, leading and mentoring the team, and fostering a culture of compliance and risk awareness. The role also involves stakeholder engagement, reporting, external relations, and supporting the Chief Legal & Compliance Officer.
Qualifications include a degree or equivalent, with professional qualifications such as IMC, CFA, or CISI preferred. The candidate should have demonstrable experience in compliance monitoring within regulated financial services, knowledge of investment products and markets, high IT literacy, and excellent stakeholder management skills.
Other responsibilities include conducting research on regulatory developments, ensuring compliance with conduct rules, and undertaking additional tasks as required.
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