Panoramic Associates are supporting a leading Private Wealth Management firm who are looking to bring in a Head of Compliance Monitoring into their firm.

The leading Wealth Manager is looking for the successful head of compliance monitoring to implement a brand new compliance monitoring plan amongst other key functions.

Other core areas for this role are detailed below:

Direct and oversee Compliance Assurance activities across all regulated entities.

To include the following:

  • Develop a risk based methodology for each of the Compliance Assurance plans. 
  • Share these plans with the compliance officers of each of the regulated entities to ensure they are fit for purpose and refined where appropriate.
  • Ensure the approach for the individual reviews considers outcomes and impacts for the business.
  • Delivery of Compliance Assurance Plans - Oversee delivery of the scheduled reviews and where required adapt the schedules to accommodate the inclusion of any extra testing which may be required.
  • Act as a point of contact for senior management and business heads for all Compliance Assurance queries.
  • Ensure the timely completion and quality of completed reviews by providing guidance to the team regarding scope, method, tone of reporting and recommendations.

Key Competencies

  • Analytical and insightful, with strong data analysis skills.
  • Effective communicator with the ability to influence stakeholders at all levels.
  • Effective decision making abilities.
  • Ability to deliver, to prioritise deliverables and to plan accordingly.
  • Highly tuned relationship management and team-working skills.

This is an outstanding opportunity for compliance professional to enhance their career with a leading organisation that can provide outstanding learning and development alongside a clear career progression path.

Please get in touch ASAP in order to be considered.