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For Companies At a Glance
- Tasks: Lead compliance monitoring and operations, ensuring adherence to regulations and effective frameworks.
- Company: Dynamic insurance firm in the heart of London with a focus on compliance excellence.
- Benefits: Competitive salary, career growth opportunities, and a supportive work environment.
- Why this job: Make a real impact in compliance while working with industry experts in a vibrant setting.
- Qualifications: 10+ years in compliance with deep knowledge of UK regulations and strong leadership skills.
- Other info: Join a team that values innovation and proactive improvement in compliance processes.
The predicted salary is between 48000 - 72000 Ā£ per year.
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. nonāSME) 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 (nonāSME), 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 preā and postābind 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, falseāpositive rates, and investigation times.
- Develop, enhance and maintain complianceāowned frameworks, policies, procedures and guidance documents.
- Monitor and oversee an annual review and update of complianceāowned 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 UKābased 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.
- Lineāmanagement 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.
Head of Compliance Monitoring and Operations in London employer: CFC
Contact Detail:
CFC Recruiting Team
StudySmarter Expert Advice š¤«
We think this is how you could land Head of Compliance Monitoring and Operations in London
āØTip Number 1
Network like a pro! Reach out to your connections in the compliance field and let them know you're on the lookout for opportunities. You never know who might have the inside scoop on a role thatās perfect for you.
āØTip Number 2
Prepare for interviews by brushing up on your knowledge of the UK regulatory landscape. Be ready to discuss how your experience aligns with the responsibilities of the Head of Compliance Monitoring and Operations role. Show them you mean business!
āØTip Number 3
Donāt just apply and wait! Follow up on your applications through our website. A quick email or message can show your enthusiasm and keep you on their radar.
āØTip Number 4
Practice makes perfect! Conduct mock interviews with friends or mentors to refine your answers and boost your confidence. The more prepared you are, the better you'll perform when it counts.
We think you need these skills to ace Head of Compliance Monitoring and Operations in London
Some tips for your application š«”
Tailor Your CV: Make sure your CV is tailored to the Head of Compliance Monitoring and Operations role. Highlight your relevant experience in compliance, especially any work with FCA and Lloyd's requirements. We want to see how your background aligns with what we're looking for!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're the perfect fit for this role. Share specific examples of your past achievements in compliance monitoring and operations. We love a good story that showcases your skills!
Showcase Your Technical Knowledge: Since this role requires deep technical knowledge of the UK regulatory landscape, make sure to highlight your expertise in your application. We want to know how you've navigated compliance challenges in the past and what strategies you've implemented.
Apply Through Our Website: Don't forget to apply through our website! Itās the best way for us to receive your application and ensures youāre considered for the role. Plus, it gives you a chance to explore more about StudySmarter and what we stand for!
How to prepare for a job interview at CFC
āØKnow Your Regulations
Make sure you brush up on the UK regulatory landscape, especially FCA and Lloyd's requirements. Being able to discuss these in detail will show that youāre not just familiar with compliance but that you live and breathe it.
āØShowcase Your Experience
Prepare specific examples from your past roles where you've successfully implemented compliance monitoring frameworks or handled regulatory breaches. This will help demonstrate your hands-on experience and problem-solving skills.
āØBe Proactive
During the interview, highlight instances where you took the initiative to improve processes or compliance frameworks. Companies love candidates who can think ahead and drive improvements without being prompted.
āØPrepare for Scenario Questions
Expect questions that ask how you would handle specific compliance scenarios. Practise articulating your thought process and decision-making steps clearly, as this will showcase your analytical skills and ability to manage complex situations.
