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Job Specification


£100K - £120K + Bonus & Benefit | City of London
Ref: 3796G2

UK & Ireland / Compliance (inc Conduct Risk/COBS) / Permanent


Our client, a leading Investment Management firm, seeks a Head of Central Compliance & Monitoring. Reporting to the UK Head of Compliance and managing staff as required, duties include; 

  • Delivering the annual Compliance Planning Framework incorporating relevant risk assessments and team wide activity planning including the Compliance Monitoring and Surveillance Plan.  
  • Managing the execution of the Compliance Monitoring and Surveillance Plan and actively enhancing monitoring and surveillance activities.   
  • Managing the Compliance team regulatory calendar and the timely delivery of regulatory reporting.    
  • Managing and developing workflows and record keeping in respect of staff personal compliance obligations.   
  • Managing the Market Conduct framework including market abuse risk assessment and market soundings.   
  • Supporting or managing frameworks in respect of Regulatory Policies, Complaints, Compliance Reporting, SM&CR (with HR), Incidents (with Risk) and Training (with HR).  
  • Maintaining a suite of appropriate Compliance team procedures.   
  • Participating in or leading other relevant activities including in respect of threshold calculation and reporting; governance structures; investigations; internal or external audits; and regulatory interactions. 

You should have good monitoring & surveillance experience and be used to allocating & delegating work as appropriate with good knowledge of FCA Rules as they apply to Investment Management and in particular Market Abuse. 

So, if that sounds like you, then please send your details to Gary Collins in the first instance (Including a contact number & email) however please note due to Covid we cannot reply to all applications so only successful applications will be contacted (although under no circumstance are your details ever passed on without your specific permission).  


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. 

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