Our client is a well-respected financial organisation that are looking for an entrepreneurial Head of Compliance Monitoring to join the business. This is a strategic role in which you will lead compliance monitoring across multiple Group functions, providing independent 2nd line assurance.
Key Responsibilities:
• Reporting into the SMF16, you will design and deliver a risk focussed, compliance monitoring plan – This will provide challenge and oversight of how the firm delivers fair customer outcomes and meets regulatory requirements.
• Identify high risk projects or business changes where compliance assurance will add value.
• Develop compliance monitoring techniques that identify key and emerging risk areas.
• Ongoing 2nd line assessment of regulatory and conduct risks aligned to business activity as well as supporting continual improvement of 1st line risk identification.
• Providing recommendations to the business based on observations and findings of the monitoring activity as well as reporting levels of compliance to management and Board risk committees.
The Ideal Candidate:
• You will manage a team of 3 Compliance Monitoring Officers, so previous experience in a senior managerial compliance monitoring position is essential.
• Extensive knowledge and experience of FCA regulations, including having worked directly with the regulator.
• Natural appetite and inquisitive mind for horizon-scanning that can think laterally about potential consequences for the company.