Head of Compliance Monitoring Maternity cover – Meredith Brown Associates

Our client, an active investment manager offering a range of funds and investment trusts, as well as a portfolio management service, covering equity, fixed income, multi asset and absolute return investment strategies is seeking a Head of Compliance Monitoring to cover maternity absence for a period of 12 months. The role will be based in their City of London office, but our client operates a hybrid working model.

Roles & Responsibilities

Leading a risk-based compliance monitoring program, aligning with regulations and business priorities.
Overseeing risk management, reporting, and team leadership.
Collaborating cross-functionally to embed compliance and ethical conduct
Supporting audits and due diligence
Advise senior leadership on emerging risks and regulatory developments.

Experience & Qualifications

Proven track record in compliance monitoring, surveillance, audit and enterprise risk management within a regulated financial services environment.
Strong understanding of compliance frameworks including the design and execution of monitoring programmes and thematic reviews.
Strong knowledge of investment products, financial markets and their application in compliance communications and risk analysis.
IT literacy with advanced skills in MS Excel and experience navigating complex databases and reporting systems.

Please note that due to the high volume of applicants responding to our adverts we are regrettably not able to feedback on all applications; only successful candidates will be contacted.