Head of Compliance Monitoring and Operations
CFC, City Of London, England, United Kingdom
Reporting to the Head of UK Compliance (SMF16 and 17), the Head of Compliance Operations & Monitoring will play a key role in ensuring compliance with all relevant regulations and implementing effective compliance monitoring frameworks.
Responsibilities:
- Oversee the delivery of high quality and timely technical advice to the business in a practical and commercially focused way in relation to all general (i.e. non‑SME) queries.
- Responsible for overseeing the development and execution of the annual Compliance Monitoring Plan.
- Lead and support on suspected and actual regulatory and policy breach or incident investigations (non‑SME), escalating findings and recommendations to the UK Head of Compliance.
- Work with the UK Head of Compliance to develop the annual Compliance Plan.
- Represent and deputise for the UK Head of Compliance as required.
- Ensure that conflicts of interest procedures and processes are designed and operating effectively.
- Ensure team completes pre‑ and post‑bind review of sanctions alerts in a timely manner.
- Ensure complaint handling procedures and processes are designed and operating effectively.
- Maintain key performance indicators (KPIs) to measure the effectiveness of compliance operations, including alert volumes, false‑positive rates, and investigation times.
- Develop, enhance and maintain compliance‑owned frameworks, policies, procedures and guidance documents.
- Monitor and oversee an annual review and update of compliance‑owned policies.
- Prepare the Compliance Monitoring updates for Compliance and Risk Committee, Board and other meetings as required.
- Prepare regulatory returns for UK Head of Compliance approval.
About you
You can demonstrate solid (minimum 10 years) technical compliance exposure to monitoring and operational processes. Ideally acquired working at a Lloyd’s Coverholder or UK‑based company market insurer.
In addition, you will have:
- Deep technical knowledge of the UK regulatory landscape, including FCA and Lloyd’s requirements.
- A proactive approach to improving processes and a consistent drive to enhance the compliance framework.
- Experience in designing and implementing internal and external regulatory controls.
- Line‑management experience within a compliance function.
- The initiative to work independently and the confidence to take responsibility for decisions made.
- Proven experience in undertaking compliance monitoring reviews.
Seniority Level
Mid‑Senior level
Employment type
Full‑time
Job function
Consulting – Insurance
Head of Compliance Monitoring and Operations employer: CFC
CFC is an exceptional employer that prioritises the employee experience, offering a dynamic work culture in the heart of London. With a strong focus on professional development and continuous improvement, employees are encouraged to grow their skills and advance their careers while enjoying a supportive environment that values communication and collaboration. The unique advantages of working in London include access to a vibrant city life and networking opportunities that enhance both personal and professional growth.
