Head of Compliance Monitoring & Thematic Reviews

  • Location:

    West London, London

  • Sector:


  • Job type:


  • Salary:

    £85000 - £100000 per annum

  • Contact:

    Marcus Deeks

  • Job ref:


  • Published:

    about 1 year ago

  • Expiry date:


Head of Compliance Monitoring & Thematic Reviews - Leading Wealth Manager - London

Unique opportunity to join a leading Wealth Manager in West London as the Head of Compliance Monitoring. The role provides support in the design, delivery and continuous improvement of the Group's Compliance Monitoring & Thematic Review framework, plan and all aspects of the delivery.

Key responsibilities include but not limited to:

  • Lead the compliance monitoring and thematic review teams; effectively manage staff to ensure they are motivated and perform their functions to the required standard and continue to develop.
  • Implement, manage and keep under review a Compliance Monitoring & Thematic Review framework for the regulated entities within the group.
  • Make proposals to the annual Compliance Monitoring Plan for agreement by the Executive Risk Management Committee and in coordination with Internal Audit
  • Review all thematic review Terms of Reference before a review begins to ensure that all risks have been covered
  • Support the team in liaising with the 1st line in respect of the review process and methodology to manage expectations
  • Liaise with Authorised Fund Operators/ Authorised Corporate Directors and respond to their queries
  • Ensure the team delivers daily, weekly, monthly and quarterly monitoring tasks
  • Manage the compliance monitoring process and ensure reviews are conducted on time according to the agreed compliance monitoring programme
  • Enhance and further develop monitoring tasks specifically in respect of Anti Money Laundering and Market Abuse

The successful Head of Compliance Monitoring & Thematic Reviews will have:

  • Experience in managing and executing Compliance Monitoring & Thematic Review Plans.
  • Experience of managing a Compliance Monitoring & Thematic Review team
  • Experience in a Wealth Management firm
  • Excellent communication skills both written and verbal

Competitive salary up to £100k and an excellent benefits package on offer to the successful Head of Compliance Monitoring in London.


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