Head of Compliance Monitoring

Job Description:

Do you have experience working in a compliance or assurance function within financial services, and designing and completing monitoring plans? Our client, a financial services firm, has a fantastic opportunity for Head of Compliance Monitoring to join the team on a permanent basis in Newcastle.

• Experience of working in a compliance or assurance function within financial services.


• Experience designing and completing monitoring plans.


• Strong knowledge of the FCA handbook and the financial services regulatory framework


• Strong communication and stakeholder management skills


• Positive and self-motivated with a can-do attitude to problem solving.


• Degree educated and or qualifications from recognised industry providers such as CISI, ICA or FSA.

• Lead and manage the Compliance Monitoring team to ensure effective oversight of all compliance activities.


• Design the annual compliance monitoring plan and oversee agreed monitoring activities, including scoping, fieldwork, documentation and reporting.


• Prepare and present detailed reports on compliance activities and findings to the Board and Committees.


• Assist in the gathering of internal information in response to regulatory returns and requests.


• Completion of due diligence on third parties.


• Contribute to robust and effective compliance controls within the firm.


• Collaborate with other departments to create a culture of compliance.


• Support the Head of Compliance and Deputy Head of Compliance with project work as required.

• A highly competitive salary


• Wider Benefits package

Core-Asset Consulting is an equal opportunities recruiter and we welcome applications from everyone irrespective of age, disability, gender, gender identity or expression, race, colour, ethnic or national origin, sexual orientation, religion or belief, marital/civil partner status or pregnancy.

Job reference: 15942

To apply for this vacancy applicants must be eligible to work in the UK in accordance with the Immigration, Asylum and Nationality Act 2006.

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Core-Asset Consulting offers specialist recruitment services to asset management, accounting & finance, asset servicing, legal and the wider financial services sector in Scotland.

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