A key hire to help design and implement a robust Compliance Monitoring Framework. This role is pivotal to ensure our client adheres to regulatory obligations, internal policies, strengthening financial crime controls.
Some Key Responsibilities
- Design and implement a comprehensive compliance monitoring framework
- Leading thematic reviews across the business
- Developing and maintaining an annual risk-based compliance monitoring plan.
- Reviewing controls and coaching the business on improving compliance monitoring.
- Regulatory horizon scanning for upcoming regulatory changes and leading with the support of the wider risk and compliance team on regulatory change initiatives.
Experience
- Strong knowledge of UK financial services, preferably from a Wealth & Investment Management background.
- Proven experience in compliance monitoring within financial services or a regulated environment.
- Strong communication and stakeholder management skills.
- Experience in leading teams and managing people effectively
- Experience in designing compliance frameworks from scratch.
