Head of Compliance Monitoring

  • £110,000
  • London, England, United Kingdom
  • Permanent, Full time
  • LMA
  • 19 Feb 18 2018-02-19

This is a newly created position within a household name wholesale investment bank

This pivotal role will lead and manage the London monitoring team 


  • Create and maintain relevant Compliance policies and procedures for Monitoring.
  • Responsible for creating the annual risk based UK Wholesale Compliance Monitoring plan.
  • Execute compliance monitoring reviews including any specific regulatory testing in accordance with the compliance monitoring procedures. This may include desk, thematic of flash related reviews as detailed within the monitoring plan.
  • Produce quality assured management information, reports and issues tracking to verify that corrective action has been effectively implemented.
  • Be the key Monitoring Compliance stakeholder across a number of projects.
  • Identify, assess, monitor and manage compliance risks and regulatory requirements applicable to monitoring.
  • Assist in reporting to the Board; 
  • Continuously develop and enhance a strong compliance culture across the firm through Compliance communications and updates.
  • Liaise and work collaboratively with other Compliance teams to ensure a consistent and common approach.

The succesful candidate will need demonstrable compliance monitoring experience from a wholesale banking background