EXCLUSIVE: HEAD OF COMPLIANCE MONITORING - EXPERIENCE OF AUDITING/ MONITORING RETAIL INVESTMENT[...]

REF:4107D

We are exclusively recruiting for our client, a leading Financial Services Group, for an experienced Monitoring Manager. Reporting to the Head of Compliance and supervising a team, duties include:

1. Lead the monitoring function within the business and provide strategic direction on its development.
2. Maintain and enhance the annual monitoring plan to ensure comprehensive coverage aligned with regulatory expectations and client requirements.
3. Prioritize higher-risk areas after discussions with senior management.
4. Design or oversee the design of detailed monitoring programmes across relevant areas, ensuring updates when regulations or SOPs change.
5. Liaise with relevant departments and allocate staff (UK & offshore) to complete monitoring reviews.
6. Review findings, distinguish between system issues and regulatory breaches, and determine if breaches require immediate reporting.
7. Investigate breaches and issues, suggest remedial actions, and improve SOPs and controls.
8. Discuss findings with management and ensure timely reporting.
9. Attend client meetings, including Risk and Compliance Committees, to present key findings.
10. Ensure follow-up actions are agreed upon and implemented.
11. Manage, mentor, and train UK and offshore teams.

You should have previous experience in compliance monitoring or internal/external audit covering regulatory requirements in retail investments, with willingness and ability to quickly learn pensions aspects if not previously covered.

Staff management experience, including resource allocation, and excellent communication skills are essential. The role is hybrid (50/50) based in central London, with potential travel outside London.

If you are interested, please send your details to our MD, David Symes FCA, at (including contact number). Note that only successful applicants will be contacted, and your details will not be shared without permission.

Compliance Recruitment Solutions Limited (CRS) acts as an employment agency for this role.

Applicants must be legally entitled to work in the UK. By applying, candidates accept the above conditions and confirm the accuracy of their information.

We are ethical, expert, and professional recruiters, founded by former Compliance Officers, specializing in AML & Financial Crime (including Anti Bribery & Corruption).

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