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.