Head of Compliance Assurance

Role Title: Managing Director, Head of Compliance Assurance

Location: London

What will you be doing

Overall purpose of role

The primary role of the Head of Compliance Assurance is to deliver the risk, controls and assurance strategy.

Develop and lead the Compliance Assurance function, setting strategic objectives, and providing direction to the Compliance Assurance team.

• Design and implement a comprehensive Compliance Assurance framework, policies, and procedures that align with regulatory requirements and industry best practices.

• Establish and maintain strong relationships with regulatory authorities, ensuring timely and accurate reporting of compliance-related matters.

• Stay up-to-date with relevant laws, regulations, and industry developments, and ensure that the Assurance plan reflects any changes.

• Define the Annual Assurance Plan and oversee Compliance Assurance reviews, issue validation, and monitoring activities to evaluate the effectiveness of controls and identify areas for improvement.

• Identify opportunities to leverage data and analytics to enhance existing Assurance plans and approaches and define a strategy to embed Continuous Assurance Techniques.

• Collaborate with Compliance stakeholders and cross-functional teams, including Chief Controls Office, Risk, Internal Audit, and Operations, to address Compliance issues and develop remediation plans.

What we're looking for

• Proven experience in designing and implementing Compliance Assurance programs.

• Excellent quantitative and qualitative analytical skills with the ability to identify, assess, and mitigate Compliance risks.

• Exceptional leadership skills with the ability to inspire and manage a team effectively.

• Strong communication and interpersonal skills, with the ability to constructively partner, collaborate and influence stakeholders at all levels of the organisation. Detail-oriented with the ability to prioritise tasks, manage multiple projects simultaneously, and meet deadlines.

• Thought leader with the ability to drive innovation.

• Seasoned financial services professional with comprehensive experience in the industry and of the regulatory environment.

• Experience of overseeing assurance/audit programs.

• Strong understanding of Compliance risk.

• Proven experience of working with stakeholders at ExCo/ExCo -1 level.

• Strong partnering, influencing and collaboration skills

• Thought leadership

Skills that will help you in your role

• The candidate will ideally have a degree level education and academic track record.

• Professional qualifications, certifications and/or registrations relevant to the Head of Compliance Assurance role.