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- Tasks: Lead compliance monitoring for retail investments and pensions, ensuring regulatory standards are met.
- Company: Join a global IT company focused on growth and financial outsourcing services.
- Benefits: Enjoy a competitive salary, generous benefits, and opportunities for training and development.
- Why this job: Be at the forefront of strategic deals while shaping compliance practices in a dynamic environment.
- Qualifications: Experience in compliance monitoring or audit, with strong staff management skills required.
- Other info: Work 2-3 days a week on-site in London or Reading.
The predicted salary is between 43200 - 72000 £ per year.
Our client, a global information technology company, is looking for a Head of Compliance Monitoring with previous experience in compliance monitoring for retail investments or pensions. This is a new role which will be at the heart of the growth agenda for the organisation. The role will have a primary focus on leading the delivery of one of the client's core strategic deals, whilst also contributing to the wider development of their financial outsourcing services. You will be required to work on the client site in either London or Reading 2-3 days per week.
Responsibilities:
- Design an annual monitoring plan to ensure all areas are covered in frequency as per both regulatory expectations and client requirements.
- Ensure the above takes into consideration higher risk areas after discussion with senior management.
- Design (or ensure designed) detailed monitoring programmes across all relevant areas and ensure that when regulations/SOPs change, such programmes are properly updated.
- Liaise with relevant areas and allocate staff to complete tasks (both UK & offshore).
- Review findings and ensure a split between systems issues and actual regulatory breaches; consider if a breach is serious enough to be immediately reported to the client and/or regulatory authorities.
- Investigate the cause of all breaches & issues, suggest remedial actions and SOP/control enhancement.
- Ensure all above is discussed with management and reports are issued.
- Ensure all follow-up actions are agreed and appropriately implemented.
- Manage, mentor and train the UK team & offshore team.
- Assist in client visits.
Mandatory Skills:
- Previous experience of compliance monitoring (or external or internal audit if also covering regulatory requirements) of retail investments and ideally pensions.
- Previous staff management experience including allocation of resources.
Desirable Skills & Knowledge:
- Expert regulatory knowledge and understanding of how regulation applies across relevant business activities and oversight.
- 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.
- Skilled communicator able to deal with a wide variety of internal stakeholders and financial regulators.
Your Benefits: As a Head of Compliance Monitoring, you will receive a competitive salary, a generous benefits package, and training & development in areas to help you improve.
Contact Detail:
TCC Group Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Head of Compliance Monitoring
✨Tip Number 1
Network with professionals in the compliance and regulatory field. Attend industry events or webinars where you can meet people who work in similar roles. This can help you gain insights into the company culture and expectations, which is invaluable when applying for a position like Head of Compliance Monitoring.
✨Tip Number 2
Familiarise yourself with the latest regulatory changes affecting retail investments and pensions. Being well-versed in current regulations will not only boost your confidence but also demonstrate your commitment to staying updated, making you a more attractive candidate.
✨Tip Number 3
Prepare to discuss your previous experience in compliance monitoring or audit during interviews. Be ready to share specific examples of how you've designed monitoring programmes or handled breaches, as this will showcase your expertise and problem-solving skills.
✨Tip Number 4
Research the company’s core strategic deals and financial outsourcing services. Understanding their business model and recent developments will allow you to tailor your discussions and show how your skills align with their growth agenda.
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 your previous experience in compliance monitoring, particularly in retail investments or pensions. Use specific examples to demonstrate your skills and achievements relevant to the role.
Craft a Compelling Cover Letter: Write a cover letter that clearly outlines your understanding of the compliance landscape and how your expertise aligns with the company's growth agenda. Mention your ability to design monitoring programmes and manage teams effectively.
Showcase Relevant Skills: In your application, emphasise your regulatory knowledge and experience in managing resources. Highlight your strong communication skills and ability to influence stakeholders, as these are crucial for the role.
Proofread Your Application: Before submitting, carefully proofread your application for any spelling or grammatical errors. A polished application reflects your attention to detail, which is essential in compliance roles.
How to prepare for a job interview at TCC Group
✨Showcase Your Compliance Expertise
Make sure to highlight your previous experience in compliance monitoring, especially in retail investments or pensions. Be prepared to discuss specific examples of how you've designed monitoring plans and addressed regulatory changes.
✨Demonstrate Leadership Skills
Since this role involves managing and mentoring a team, be ready to share your experiences in staff management. Discuss how you've allocated resources effectively and supported your team in achieving compliance goals.
✨Prepare for Scenario-Based Questions
Expect questions that assess your problem-solving skills, particularly around breaches and issues. Think of scenarios where you had to investigate a breach, suggest remedial actions, and communicate findings to management.
✨Communicate Clearly and Confidently
Strong communication skills are essential for this role. Practice articulating your thoughts clearly and assertively, as you'll need to influence various stakeholders and convey complex regulatory information effectively.
