Group Compliance Monitoring Manager
28 Days Old
- Design, implement, and oversee the firm’s global compliance monitoring and assurance programme to ensure adherence to regulatory obligations.
- Conduct risk-based compliance monitoring reviews, identifying areas of non-compliance and recommending remedial actions.
- Develop and maintain a compliance monitoring plan and risk assessment that aligns with regulatory expectations and the firm’s risk appetite.
- Prepare and present detailed compliance reports to senior management, identifying key findings and trends.
- Manage, mentor, and develop a team of five compliance monitoring professionals, providing guidance and support.
- Monitor regulatory developments and assess their impact on the firm’s compliance framework.
- Collaborate with key stakeholders, including Local Compliance, Marketing, Risk, and Internal Audit, to enhance the firm’s compliance culture.
- Ensure effective record-keeping and documentation of monitoring activities, findings, and remedial actions.
- Work closely with regulators and auditors during audits, inspections, and regulatory inquiries.
- Minimum of 5+ years in compliance monitoring, assurance, or audit within a regulated financial services firm (CFD/spread betting experience preferred).
- Excellent written and verbal communication skills, with experience presenting findings to senior management and relevant stakeholders.
- Proven experience managing and developing a team.
- Strong understanding of global regulatory frameworks.
- Ability to identify compliance risks and propose effective solutions.
- Strong analytical mindset with the ability to interpret regulations and policies.
- Ability to work collaboratively across multiple departments and jurisdictions.
- Location:
- London, England, United Kingdom
- Salary:
- £100,000 - £125,000
- Category:
- Management & Operations
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