Submit your CV

  • Accepted file types: pdf, doc, docx.
    Allowed file types are PDF, DOC and DOCX. Maximum file size 5mb.
  • By submitting this form, you agree to the Terms of Service and Privacy Policy, including Cookie Use.
  • Job Alerts Call Icon Call Icon

    Compliance Monitoring Team Leader

    Reporting to the Director of Compliance, this role will sit within the second line of defence, consisting of risk management and compliance functions, providing oversight and support to the first line of defence in relation to risk.

    Main duties:

    • Planning and executing compliance monitoring reviews
    • Developing testing programs, schedules and executing testing
    • Evaluating root causes for testing exceptions and recommending practical solutions
    • Working on multiple projects at any one time
    • Responsibility for standardising the compliance monitoring programs and managing the workload and priorities of the team
    • Ensuring all documentation of work, queries and results are recorded and responding to enquiries from auditors and other service providers

    Skills, knowledge and expertise required:

    • Experience in audit, compliance monitoring and testing or relevant compliance experience
    • Experience in managing a team and conducting appraisals
    • Passion for technical compliance and interest in wide scale reviews
    • Appreciation of the regulations related to fund administration and/or investments
    • Experience and interest in working across multiple jurisdictions
    • Strong interpersonal and influencing skills

    If you’d like to find out more information about this opportunity, please call us on 01534 626777 or email jobs@rowlands.co.uk

    We are an equal opportunity employer and value diversity at all times.

    Related Jobs

    Administrator

    A great role within a leading provider of fund administration and outsource services, you will update client records and establish good relationships with clients.

    Full Time
    Ref: 36705

    Fund Administrator

    This role would suit an individual with strong time management skills and looking to study for professional qualifications.

    Full Time
    Ref: 36691

    Temporary Operational Risk Officer

    New 6 month temporary opportunity for an operational risk proffessional to join a highly regarded bank.

    Full Time
    Ref: 36688

    Head of Compliance Monitoring

    A brand new role within an international banking institution, you will support the Chief Compliance Officer with the creation, maintenance and delivery of a comprehensive Compliance Monitoring Programme.

    Full Time
    Ref: 36672

    Regulatory and Policy Compliance Manager

    Providing a central control over all regulatory engagement and providing a risk / regulatory / policy compliance service to business lines across six jurisdictions for an international banking institution.

    Full Time
    Ref: 36673

    Apply for Job

    Compliance Monitoring Team Leader
  • Accepted file types: pdf, doc, docx.
    Allowed file types are PDF, DOC and DOCX. Maximum file size 5mb.
  • By submitting this form, you agree to the Terms of Service and Privacy Policy, including Cookie Use.
  • Email to a Friend

    Share the position of Compliance Monitoring Team Leader