Global Head of Compliance Monitoring

  • Base + Bonus + Benefits
  • London, England, United Kingdom London England GB
  • Permanent, Full time
  • Hamlyn Williams
  • 02 Aug 18 2018-08-02

The chance to join a Multinational Asset Management Company as its Global Head of Compliance Monitoring.

Responsibilities

• Overseeing, track and report the programme for the execution of the programme, in close coordination with GIA, who will lead the delivery of most global thematic reviews and London and local Compliance functions who will deliver the local thematic reviews and the surveillance programme.
• Collaborating actively with, advise, and support Compliance Regional/Country Heads and/or designated monitoring "champions"
• Developing and leading the appropriate global forum to assess and share progress, issues, obstacles, good practices, lessons, efficiencies and effectiveness
• Evaluating local practices and implementation through appropriate overseas visits and recommend any key enhancements of methodology, practice, resourcing
• Promoting effective adoption of the global compliance monitoring standards, recommending and rolling out enhancements as appropriate
• Promoting the consistency and effectiveness of thematic and desk-based monitoring and surveillance globally and the balance between them
• Managing and coordinating the cross-border monitoring of delegated accounts
• Developing and promoting common best practices, knowledge, and data sharing and efficient approaches
• Developing and overseeing more effective reporting and MI of monitoring work undertaken globally
• Promoting appropriate supporting technology, including workflow and documentation where value adding
• Reporting on the status of and issues arising from the global compliance monitoring programmes to the Global Head of Compliance and, as appropriate, to the Group General Counsel