Lutine Bell is partnering with a rapidly expanding wealth management firm to recruit a Senior Compliance Monitoring Manager. This key role involves leading the Compliance Monitoring function, overseeing the implementation and execution of the Compliance Monitoring Plan, and providing strategic oversight. The ideal candidate will have demonstrable line management experience, as the role includes managing two direct reports, and a proven ability to take full ownership of the compliance monitoring framework.
Key Responsibilities:
Visionary Leadership:
Lead and mentor the compliance monitoring team to deliver a robust and consistent compliance monitoring program. Strategic Oversight:
Design and execute comprehensive compliance monitoring plans, proactively identifying and addressing potential compliance risks. Rigorous Reviews:
Supervise and conduct regular audits and assessments to ensure regulatory compliance, implementing corrective actions where necessary. Insightful Analysis:
Develop and deliver in-depth compliance reports to senior management, offering actionable insights and recommendations. Collaborative Engagement:
Build and nurture strong relationships with key stakeholders to enhance alignment and collaboration across the organization. Proactive Adaptation:
Monitor regulatory developments and ensure the compliance monitoring framework remains dynamic and responsive to change.
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Visionary Leadership:
Lead and mentor the compliance monitoring team to deliver a robust and consistent compliance monitoring program. Strategic Oversight:
Design and execute comprehensive compliance monitoring plans, proactively identifying and addressing potential compliance risks. Rigorous Reviews:
Supervise and conduct regular audits and assessments to ensure regulatory compliance, implementing corrective actions where necessary. Insightful Analysis:
Develop and deliver in-depth compliance reports to senior management, offering actionable insights and recommendations. Collaborative Engagement:
Build and nurture strong relationships with key stakeholders to enhance alignment and collaboration across the organization. Proactive Adaptation:
Monitor regulatory developments and ensure the compliance monitoring framework remains dynamic and responsive to change.
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