My Shortlist

Your shortlisted jobs will appear here. To view your shortlist: Login Or Register

Date Added: YESTERDAY

Head Of Compliance Monitoring

London, UK
Apply Now

Company: BROSTER BUCHANAN LTD

Job Type: Permanent, FullTime

Salary: £120,000 per annum

  • Superb salary and company benefits.
  • A role with great exposure and progression.
  • A value-adding role with lots of exposure.
What you will be doing:
  • Working with the Director of Compliance, Head of Conduct & Compliance Advisory and other stakeholders, build and execute a robust Annual Compliance Monitoring Plan that ensures all areas of the business can demonstrate that they are adhering to all relevant regulatory rules, guidelines and expectations (including adherence to PRIN, TC, TCF, SYSC, PERG, CONC, DISP and PSD2 Regulations).
  • Provide direction and leadership to the Compliance Monitoring team and line management, coaching and development of the Senior Compliance Monitoring Manager and Compliance Managers.
  • Ownership of Compliance Monitoring methodology, Monitoring Plan methodology and the associated processes, procedures and templates.
  • Follow up on deficiencies and ensure that corrective action has been taken where necessary, with appropriate records to evidence sign-off retained.
  • Through undertaking RCA on identified issues, share insights and recommendations based on the output of Monitoring activity.
Apply Now