Head of Compliance Monitoring

Job Description:

Do you have experience working in a compliance or assurance function within financial services, and designing and completing monitoring plans? Our client, a financial services firm, has a fantastic opportunity for Head of Compliance Monitoring to join the team on a permanent basis in Newcastle.

Skills/Experience:

• Experience of working in a compliance or assurance function within financial services.
• Experience designing and completing monitoring plans.
• Strong knowledge of the FCA handbook and the financial services regulatory framework.
• Strong communication and stakeholder management skills.
• Positive and self-motivated with a can-do attitude to problem solving.
• Degree educated and/or qualifications from recognised industry providers such as CISI, ICA or FSA.

Core Responsibilities:

• Lead and manage the Compliance Monitoring team to ensure effective oversight of all compliance activities.
• Design the annual compliance monitoring plan and oversee agreed monitoring activities, including scoping, fieldwork, documentation and reporting.
• Prepare and present detailed reports on compliance activities and findings to the Board and Committees.
• Assist in the gathering of internal information in response to regulatory returns and requests.
• Completion of due diligence on third parties.
• Contribute to robust and effective compliance controls within the firm.
• Collaborate with other departments to create a culture of compliance.
• Support the Head of Compliance and Deputy Head of Compliance with project work as required.

Benefits:

• A highly competitive salary.
• Wider Benefits package.

Job reference: 15942

To apply for this vacancy, applicants must be eligible to work in the UK in accordance with the Immigration, Asylum and Nationality Act 2006.