Head of Compliance Monitoring
2 weeks ago
Location : Hybrid – 2 / 3 days in London or Reading As the Head of Compliance Monitoring, you will : Design an annual monitoring plan to ensure all areas covered in frequency as to both regulatory expectations and client requirements Design (or ensure designed) detailed monitoring programmes across all relevant areas and also ensure when regulations / SOPs change, such programmes are properly updated Liaise with such area as to when convenient and allocate relevant staff to complete (both UK & offshore) Review findings and ensure split between systems issues and actual regulatory breaches (then in line with other colleagues consider if breach so serious needs to be immediately reported to client and / or regulatory authorities) Investigate cause of all breaches & issues, suggest remedial actions and SOP / control enhancement Manage, mentor and train UK team & offshore Team Assist in client visits Essential Experience : Qualifications : Level 4 Diploma in Financial Planning as a minimum Previous compliance monitoring in the wealth space External or Internal Audit of regulatory requirements, retail investments and pensions Team Management including allocation of resources. If you would like to apply, please send your CV tocv@tcc.groupwith ‘ Head of Compliance Monitoring ’ in the subject line. #J-18808-Ljbffr
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Deputy Head of Compliance Monitoring
4 days ago
Greater London, United Kingdom Marsh McLennan Full timeDeputy Head of Compliance Monitoring We are seeking a talented individual to join our Compliance Monitoring team at Marsh McLennan. This role will be based in our London offices and is a hybrid role that requires working at least three days a week in the office. Overview Compliance Monitoring is part of the UK Regional Compliance function and the Second Line...
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Head of Compliance Monitoring
6 days ago
London, United Kingdom eFinancialCareers Full timeA leading Lloyd’s Insurance broker is hiring a Head of Compliance Monitoring to lead and manage their monitoring team. **Reporting into**: Group Chief Compliance Officer **Responsibilities**: - To provide compliance oversight and leadership across the company structure. - Support the company in maintaining compliance with industry and governmental lead...
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Head of Compliance Monitoring
2 weeks ago
Greater London, United Kingdom TCC Group Full timeA leading compliance firm in the UK is seeking a Head of Compliance Monitoring for a hybrid role involving 2-3 days in London or Reading. The candidate will design monitoring plans, review compliance findings, and manage teams. Essential qualifications include a Level 4 Diploma in Financial Planning and experience in compliance monitoring within the wealth...
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Head of Compliance Monitoring
2 weeks ago
London, United Kingdom TCC Group Full time £150 - £200Location : Hybrid – 2 / 3 days in London or ReadingNot sure what skills you will need for this opportunity Simply read the full description below to get a complete picture of candidate requirements.As the Head of Compliance Monitoring, you will :Design an annual monitoring plan to ensure all areas covered in frequency as to both regulatory expectations and...
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Head of Compliance Monitoring
1 week ago
London, United Kingdom TCC Group Full time £150 - £200Location : Hybrid – 2 / 3 days in London or ReadingHit Apply below to send your application for consideration Ensure that your CV is up to date, and that you have read the job specs first.As the Head of Compliance Monitoring, you will :Design an annual monitoring plan to ensure all areas covered in frequency as to both regulatory expectations and client...
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Compliance Monitoring Manager
6 days ago
Greater London, United Kingdom CFC Underwriting Full timeCompliance Monitoring Manager Department: Compliance Employment Type: Permanent - Full Time Location: UK - Londonp> Reporting To: Alex Kasparian Description An exciting opportunity for an experienced Compliance Monitoring Manager to join a busy, fast-paced Compliance Team to lead and shape the compliance monitoring programme across CFC Group. The role holder...
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Compliance Monitoring Manager
1 week ago
Greater London, United Kingdom CFC Full timeCompliance Monitoring Manager Department: Compliance Employment Type: Permanent - Full Time Location: UK - London Reporting To: Alex Kasparian Description An exciting opportunity for an experienced Compliance Monitoring Manager to join a busy, fast-paced Compliance Team to lead and shape the compliance monitoring programme across CFC Group. The role holder...
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Deputy Head of Compliance Monitoring
5 days ago
London, United Kingdom Marsh McLennan Full time £150 - £200Deputy Head of Compliance MonitoringReady to apply Before you do, make sure to read all the details pertaining to this job in the description below.We are seeking a talented individual to join our Compliance Monitoring team at Marsh McLennan. This role will be based in our London offices and is a hybrid role that requires working at least three days a week...
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Greater London, United Kingdom Marsh McLennan Full timeA leading global professional services firm is seeking a Deputy Head of Compliance Monitoring in London. This role requires extensive compliance monitoring experience, strong communication, and people-management skills. You will lead the Compliance Monitoring team, develop strategies, and effectively manage stakeholder relationships. The ideal candidate has...
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Deputy Head of Compliance Monitoring
6 days ago
London, United Kingdom Marsh McLennan Full timeCompany:MMC CorporateDescription:Deputy Head of Compliance MonitoringWe are seeking a talented individual to join our Compliance Monitoring team at Marsh McLennan. This role will be based in our London offices. This is a hybrid role that has a requirement of working at least three days a week in the office.Compliance Monitoring is part of the UK Regional...
