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 to cv@tcc.group with ‘Head of Compliance Monitoring’ in the subject line.