Head of Compliance

Head of Compliance (Compliance Monitoring Manager)

RGH Global is a recruitment and people engagement service. Our mission is to challenge the traditional recruitment industry and provide value to our clients.

Company Overview:

We are working with an FCA authorisedfinancial compliance consultancy who partner with pension schemes and investment platforms, providing business and technology process outsourcing services, and end-to-end front and back-office operations support.

We are seeking an accomplished Compliance Monitoring Manager with previous experience of compliance monitoring for retail investments or pensions.

This is a new role which will be at the heart of the growth agenda for the organisation. The role will have a primary focus on leading the delivery of one of our core strategic deals, whilst also contributing to the wider development of our financial outsourcing services.

Responsibilities:

As a Compliance Monitoring Manager, you will:

• Design an annual monitoring plan to ensure all areas covered in frequency as to both regulatory expectations and client requirements.

• Ensure above takes into consideration higher risk areas after discussion with senior management.

• 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.

• Ensure all above discussed with management and report issued.

• Ensure all follow up actions agreed and appropriately implemented.

• Manage, mentor and train UK team & offshore Team.

• Assist in client visits.

Skills & Knowledge:

Mandatory;

• Previous experience of compliance monitoring (or external or internal audit if also covered regulatory requirements) of retail investments (and willing & able to quickly pick up pensions aspects if not covered before).

• Previous staff management experience including allocation of resources.

Desirable;

• Expert regulatory knowledge and then how regulation applies across relevant business activities and oversight of such.

• Ability to work without supervision and under pressure.

• Efficient and well organised.

• Strong communication skills both written and verbal.

• Credible and assertive manner.

• Discretion, tact and resilience.

• Professional manner with the ability to influence and persuade.

• They must be a skilled communicator and able to deal with a wide variety of internal stakeholders and financial regulator.

Application of Individual Conduct Rules:

Standard of conduct is reasonable under all circumstances relating to;

• Must act with integrity.

• Must act with due skill, care and diligence.

• Must be open and cooperative with the FCA and other regulators.

• Must pay due regard to the interests of customers and treat them fairly.

• Must observe proper standards of market conduct.

If you have a strong background in compliance monitoriing, ideally from the financial investment sector, we encourage you to apply for this exciting opportunity at RGH Global limited. We are committed to creating a divers and inclusive workplace and welcome applicants of all backgrounds.