Job Description
Head of Compliance Monitoring and Operations
CFC, City Of London, England, United Kingdom
Reporting to the Head of UK Compliance (SMF16 and 17), the Head of Compliance Operations & Monitoring will play a key role in ensuring compliance with all relevant regulations and implementing effective compliance monitoring frameworks.
Responsibilities:
- Oversee the delivery of high quality and timely technical advice to the business in a practical and commercially focused way in relation to all general (i.e. non‑SME) queries.
- Responsible for overseeing the development and execution of the annual Compliance Monitoring Plan.
- Lead and support on suspected and actual regulatory and policy breach or incident investigations (non‑SME), escalating findings and recommendations to the UK Head of Compliance.
- Work with the UK Head of Compliance to develop the annual Compliance Plan.
- Represent and deputise for the UK Head of Complian...