Head of Compliance Monitoring
This will include overall responsibility for delivering an effective, high quality, risk based monitoring plan and ensuring their staff have the capabilities necessary to be successful in their roles with the necessary training, coaching and support provided, to deliver this plan.
Key responsibilities include:
Building trusted relationships with all stakeholders that will include senior business executives, external agencies, peers and staff;
Building and sustaining a high performance culture within Regulatory Risk;
Ensuring the maintenance of a Compliance Monitoring plan reflecting the Conduct Risks in the business designed to identify areas of Customer detriment and align with the first line Oversight plans of the Business Unit Management Assurance teams and the Internal Audit plan;
The development, approval and periodic review of a risk based compliance programme for the business activities within the agreed scope and timeline that will include undertaking highly complex reviews requiring relationship management with clients that will require clear articulation of the risks assessed and recommendations made;
Delivery of the approved Compliance Monitoring plan for the team, ensuring an even flow of delivery throughout the year.
To be considerd for this post you will be an experienced finance, banking or audit professional with appropriate qualifications (CA, IIA, Chartered Banker or equivalent Risk Management or Financial Services qualification), including experience in Regulatory Risk, Conduct Risk or Compliance. First class interpersonal and leadership skills are mandatory.
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