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EXCLUSIVE:HEAD OF COMPLIANCE MONITORING  - EXPERIENCE OF AUDITING/ MONITORING RETAIL INVESTMENTS AND/OR PENSIONS  REQUIRED

£100K + Bonus & Benefit     Hybrid (London)

REF:4107D

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

  • Lead the monitoring function within the business and provide strategic direction on the development of the function.
  • Maintain and enhance the 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 areas as to when convenient, and allocate relevant staff to complete monitoring reviews (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 identified through monitoring, suggest remedial actions and SOP/control enhancement
  • Ensure all above discussed with management and reports issued
  • Attend client meetings, including Risk and Compliance Committees to present key findings.
  • Ensure all follow up actions agreed and appropriately implemented
  • Manage, mentor and train UK team & offshore Team

You should have 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).

You should also have staff management experience (including allocation of resources) and excellent communication skills. NB The role is 50/50 hybrid in their central London office but may involve travel outside the London area. 

So, if that sounds like you, then please send your details to our MD, David Symes FCA, at david@compliancerecruitment.com (including contact no) however please note we cannot reply to all applications so only successful applications will be contacted (although under no circumstances are your details ever passed on without your specific permission).

 

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Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.   The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.