Head of Compliance Monitoring
Our client, a global financial institution is looking for a Head of Compliance Monitoring to manage a team in helping to ensure that the global market business meets its regulatory obligations. The individual would help in identify and mitigate risks across the business and help promote a proactive regulatory culture.
Duties Include:
- Manage a team of compliance monitoring specialists in delivering on regulatory objectives defined by compliance assurance plan.
- Regularly assess the adequacy and effectiveness of policies and procedures in place to monitor the business.
- Review work undertaken by staff in relation risk assessment processes to ensure that it is line with the firm’s business practices and methodology.
- Prepare and develop the monitoring plan.
- Promote awareness within the business of applicable regulatory standards and industry best standards.
- Liaise with compliance advisory team regarding departmental objectives for upstream regulatory risks and changes to procedures and practices.
- Manage and supervise the fieldwork of monitoring reviews.
- Identify areas where regulatory risk standards can be enhanced and assist in their effective implementation.
- Provide input to senior management in regards to regulatory policy and strategy development.
- Ensure that compliance risk assessments are aligned to currently regulatory issues and specific product and business areas.
- Liaise with the Head of Compliance on reports of monitoring and review work.
The preferred candidate will ideally have markets, investment banking or wholesale banking background and be able to demonstrate strong management capability. You should also possess excellent communication and interpersonal skills and be able to interact at all levels of business effectively.
If you are interested in this opportunity, please email your C.V. to inan@altussearch.co.uk or call Inan Rashid on 020 7430 1831 for a confidential discussion.
Altus Search Ltd is acting as an employment agency in relation to this role.
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