Head of Compliance Monitoring and Operations

Head of Compliance Monitoring and Operations

CFC, City Of London, England, United Kingdom

Reporting to the Head of UK Compliance (SMF16 and 17), the Head of Compliance Operations & Monitoring will play a key role in ensuring compliance with all relevant regulations and implementing effective compliance monitoring frameworks.

Responsibilities:

• Oversee the delivery of high quality and timely technical advice to the business in a practical and commercially focused way in relation to all general (i.e. non‑SME) queries.
• Responsible for overseeing the development and execution of the annual Compliance Monitoring Plan.
• Lead and support on suspected and actual regulatory and policy breach or incident investigations (non‑SME), escalating findings and recommendations to the UK Head of Compliance.
• Work with the UK Head of Compliance to develop the annual Compliance Plan.
• Represent and deputise for the UK Head of Compliance as required.
• Ensure that conflicts of interest procedures and processes are designed and operating effectively.
• Ensure team completes pre‑ and post‑bind review of sanctions alerts in a timely manner.
• Ensure complaint handling procedures and processes are designed and operating effectively.
• Maintain key performance indicators (KPIs) to measure the effectiveness of compliance operations, including alert volumes, false‑positive rates, and investigation times.
• Develop, enhance and maintain compliance‑owned frameworks, policies, procedures and guidance documents.
• Monitor and oversee an annual review and update of compliance‑owned policies.
• Prepare the Compliance Monitoring updates for Compliance and Risk Committee, Board and other meetings as required.
• Prepare regulatory returns for UK Head of Compliance approval.

About you

You can demonstrate solid (minimum 10 years) technical compliance exposure to monitoring and operational processes. Ideally acquired working at a Lloyd’s Coverholder or UK‑based company market insurer.

In addition, you will have:

• Deep technical knowledge of the UK regulatory landscape, including FCA and Lloyd’s requirements.
• A proactive approach to improving processes and a consistent drive to enhance the compliance framework.
• Experience in designing and implementing internal and external regulatory controls.
• Line‑management experience within a compliance function.
• The initiative to work independently and the confidence to take responsibility for decisions made.
• Proven experience in undertaking compliance monitoring reviews.

Seniority Level

Mid‑Senior level

Employment type

Full‑time

Job function

Consulting – Insurance