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Head of Compliance Monitoring

  • Location: Manchester
  • Salary: Circa £80,000 + Car allowance + Bonus + Benefits per year
  • Job Type:Permanent

Posted almost 2 years ago

  • Sector: Compliance
  • Contact: Paul Sherlock
  • Expiry Date: 17 June 2022
  • Job Ref: PS/18890

​Our client is a market leading financial services firm that are hiring a Head of Compliance Monitoring to play a critical role in the process of undergoing industry-wide FCA regulation. In this role you will lead the compliance monitoring team whilst also providing independent second line of defence assurance.

Key Responsibilities:

•Utilise the compliance risk assessment framework to design and deliver the board approved Compliance Monitoring Programme.

•Design, deliver and review the Compliance Monitoring Framework and perform assurance reviews to assess how the business delivers fair customer outcomes within regulatory requirements.

•Lead qualitative and data-led monitoring techniques to identify the type of assurance review that will provide the right outcome in assessing risk.

•Supervise the delivery of the end-to-end monitoring review cycle in delivering the Compliance Monitoring Programme.

•Provide the business with MI, reporting and clarity of any significant risks.

The Ideal Candidate:

•Significant experience acting as Head of Compliance Monitoring within a medium or large compliance team.

•Previous experience of working with an FCA related entity, with extensive knowledge of the FCA handbook, financial crime compliance and SMCR.

•Understanding of the Enterprise Risk Management Framework and how regulatory compliance and conduct risk operates within this.