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- Tasks: Lead compliance monitoring for a dynamic Wealth Management firm, ensuring regulatory standards are met.
- Company: Momenta is a leading provider of pension schemes and investment platforms, offering innovative solutions.
- Benefits: Enjoy a hybrid work model, competitive salary, and opportunities for professional growth.
- Why this job: Join a supportive team, make a real impact, and enhance your career in finance.
- Qualifications: Experience in compliance monitoring or audit, with strong communication skills and regulatory knowledge required.
- Other info: This is a permanent, full-time role based in London/Reading, starting ASAP.
The predicted salary is between 84000 - 156000 £ per year.
Join to apply for the Head of Compliance Monitoring role at Momenta
Join to apply for the Head of Compliance Monitoring role at Momenta
Direct message the job poster from Momenta
We are seeking a Head of Compliance Monitoring to join a recently acquired Wealth Management firm. Our client is a prominent provider of pension schemes and investment platforms, offering comprehensive business process outsourcing, technology solutions, and full-spectrum front-to-back office support services.
Tell me more:
- Location: Hybrid (London/Reading office 2/3 times per week)
- Work Pattern: Standard Business Hours
- Start Dates: ASAP
- Duration: Permanent
Responsibilities:
- Design an annual monitoring plan to ensure all areas covered in frequency as to both regulatory expectations and client requirements
- Ensure above takes into consideration higher risk areas after discussion with senior management
- Design (or ensure designed) detailed monitoring programmes across all relevant areas and also ensure when regulations/SOPs change, such programmes are properly updated
- Liaise with such area as to when convenient and allocate relevant staff to complete (both UK & offshore)
- Review findings and ensure split between systems issues and actual regulatory breaches (then in line with other colleagues consider if breach so serious needs to be immediately reported to client and/or regulatory authorities)
- Investigate cause of all breaches & issues, suggest remedial actions and SOP/control enhancement
- Ensure all above discussed with management and report issued
- Ensure all follow up actions agreed and appropriately implemented
- Manage, mentor and train UK team & offshore Team
- Assist in client visits
Essential skills & experience required:
- Previous experience of compliance monitoring (or external or internal audit if also covered regulatory requirements) of retail investments (and willing & able to quickly pick up pensions aspects if not covered before)
- Proven experience gained within the Wealth, Investment or Asset management industry
- Level 4 Diploma in Financial Planning would be an advantage
- Previous staff management experience including allocation of resources
- Expert regulatory knowledge and then how regulation applies across relevant business activities and oversight of such
- Ability to work without supervision and under pressure
- Efficient and well organised
- Strong communication skills both written and verbal
- Credible and assertive manner
- Discretion, tact and resilience
- Professional manner with the ability to influence and persuade
- They must be a skilled communicator and able to deal with a wide variety of internal stakeholders and financial regulator
- Must pay due regard to the interests of customers and treat them fairly
- Must observe proper standards of market conduct
Seniority level
-
Seniority level
Mid-Senior level
Employment type
-
Employment type
Full-time
Job function
-
Job function
Finance
-
Industries
Financial Services, Banking, and Investment Management
Referrals increase your chances of interviewing at Momenta by 2x
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Head of Compliance Monitoring employer: Momenta
Contact Detail:
Momenta Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Head of Compliance Monitoring
✨Tip Number 1
Familiarise yourself with the latest regulatory changes in the wealth management sector. This will not only help you understand the compliance landscape but also demonstrate your proactive approach during discussions with the hiring team.
✨Tip Number 2
Network with professionals in the compliance field, especially those who have experience in wealth management. Engaging with industry peers can provide valuable insights and potentially lead to referrals that could enhance your application.
✨Tip Number 3
Prepare to discuss specific examples of how you've designed monitoring programmes or handled compliance breaches in previous roles. Being able to articulate your hands-on experience will set you apart from other candidates.
✨Tip Number 4
Showcase your leadership skills by highlighting any experience you have in mentoring or managing teams. The role requires strong staff management capabilities, so be ready to discuss how you've successfully led teams in the past.
We think you need these skills to ace Head of Compliance Monitoring
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in compliance monitoring, particularly within the Wealth Management sector. Use specific examples that demonstrate your understanding of regulatory requirements and your ability to manage teams.
Craft a Strong Cover Letter: In your cover letter, address how your skills align with the responsibilities outlined in the job description. Mention your experience with designing monitoring programmes and your ability to communicate effectively with stakeholders.
Showcase Relevant Qualifications: If you have a Level 4 Diploma in Financial Planning or similar qualifications, make sure to mention these prominently. Highlight any additional training or certifications that relate to compliance and regulatory knowledge.
Prepare for Potential Questions: Think about how you would respond to questions regarding your experience with compliance breaches and your approach to remedial actions. Be ready to discuss specific instances where you've successfully managed compliance issues.
How to prepare for a job interview at Momenta
✨Understand the Regulatory Landscape
Make sure you have a solid grasp of the current regulations affecting the wealth management sector. Familiarise yourself with key compliance requirements and be prepared to discuss how they impact business operations.
✨Showcase Your Experience
Be ready to share specific examples from your previous roles that demonstrate your expertise in compliance monitoring. Highlight any experience you have with retail investments and how you've managed compliance in high-risk areas.
✨Prepare for Scenario-Based Questions
Expect questions that ask you to solve hypothetical compliance issues or breaches. Think through potential scenarios and how you would approach them, including your methods for investigation and remediation.
✨Demonstrate Leadership Skills
Since this role involves managing and mentoring a team, be prepared to discuss your leadership style. Share examples of how you've successfully led teams in the past and how you plan to support and develop your team at Momenta.
