A well respected wealth manager is looking for a head of compliance monitoring to join their compliance department. As part of the team you will work in a cohesive manner to ensure the business controls are fit for purpose and in line with regulatory obligations to the FCA.
This role reports to the UK head of compliance and will oversee a team.
Key responsibilities;
- Provide expert technical advice in regards to compliance and its application of regulatory controls.
- Planning and carrying out reviews of functions in accordance with the planned review schedule and on a thematic risk-based approach.
- Providing compliance subject matter expertise and support for the monitoring team working with the team to identify adverse trends, poor controls and systemic risks.
- Drafting and issuing reports of each functional review.
- Recording and tracking the implementation of review recommendations.
- Presentation to senior management and the board.
Key skills;
- Extensive experience in an investment or wealth management environment.
- Experience working in relevant market/context, i.e. background in compliance, preferably including monitoring and testing, risk, audit or control functions.
- Previous management experience extremely desirable.
- Ability to undertake and support junior team members with branch reviews.
- Self-awareness with confidence to work independently and take responsibility for own development.
