Location: London (Hybrid)
Sector: Wealth & Investment Management
Overview
You 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.
Key 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
- Attending and contributing to the Compliance Management Committee, Risk Management Committee, Financial Crime Committee, Compliance Team Meetings, and other sub-committees as appropriate.
What You’ll Bring
- Significant experience in a senior compliance monitoring or assurance role within an FCA-regulated firm, ideally in wealth & 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
