Head of Compliance Monitoring

Associate Director, Risk, Compliance, Financial Crime and Finance BroadgateHead of Compliance Monitoring

Location: London (Hybrid)

Sector: Wealth and Investment Management

OverviewYou will be a key member of the Compliance function working closely with the SMF16, SMF17 and the wider Compliance team.

Overseeing and taking responsibility for the Compliance Monitoring, Thematic, and Third-Party Oversight Programs. You will also be responsible for the day-to-day management of the Compliance Monitoring Team.

Responsibilities

Developing and delivering the risk-based Compliance Monitoring, Thematic, and Third-Party Oversight Program, ensuring alignment with business strategy and responsiveness to internal and external developments.

Leading, developing, and inspiring a high-performing Compliance Monitoring team, fostering a culture of continuous improvement and accountability.

Championing robust documentation, methodology, and procedures across all compliance monitoring activities

What You’ll Bring

Significant experience in a senior compliance monitoring or assurance role within an FCA-regulated firm, ideally in wealth and Investment management

Strong working knowledge of the UK regulatory framework, including the FCA Handbook and Consumer Duty

Experience of managing people management

Strong stakeholder engagement skills

Details

Location: London (Hybrid)

Employment type: Full-time

Job function: Finance

Industries: Investment Management

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