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Head of Compliance Monitoring

Salary Competitive
Type Permanent
Location London
Sectors Compliance
Job Reference T3A/HGW/29660
Contact Harry Warwick
Date posted 28-08-2018

A Global Asset Management Company is looking for a Head of Compliance Monitoring to join their diverse and talented team in London.
As Head of Compliance Monitoring, you will be responsible for:
• Enhance and execute the Compliance Monitoring Programme, whilst overseeing junior members of the team
• Overseeing and track the execution of the programme globally, in close coordination with GIA and reporting to Global Head of Compliance
• Collaborating actively with and supporting Compliance Regional/Country Heads
• Evaluating local practices and implementation through appropriate overseas visits as well as promoting effective adoption of the global compliance monitoring standards.
• Preparing and delivering insightful quarterly reports to GRC and BARC on the global programme – status, key issues, themes/trends, proposed risk based adjustments
• Develop, lead and where appropriate deliver relevant monitoring training globally – methodology (compliance, risk and audit), regulatory and risk thematic content, technology, techniques
• Managing the planning, resourcing and reporting of the programme, collaborating with Heads of Compliance in Investment and Distribution
• Participating as and where appropriate in relevant compliance investigations, and new acquisition due diligence

Skills required
• Global regulatory risk and hot topic knowledge
• Audit/assurance knowledge sharing and skills development
• Proven experience of Compliance Monitoring within the Asset Management space
• Prior experience of managing a small team
• Global regulatory assurance, especially differences in jurisdictional monitoring expectations and requirements, e.g. US
• Peer knowledge sharing and best practices

For more information on this job contact Harry Warwick on 02031453362 or

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Contact Harry about this job

Director, Compliance, Finance & Legal