Apply for Head of Compliance Monitoring – Tied Agencies (EU Region)

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Position Information
Head of Compliance Monitoring – Tied Agencies (EU Region)

Company: Freedom24

Description: Position imported from external system

Responsibilities: <ol><li><p><strong>Strategic Oversight of Monitoring Framework</strong></p><p><strong><em>– </em></strong>Lead the design, enhancement, and supervision of the communication monitoring framework (calls, emails, tickets) across all EU-based Tied Agents;</p><p><strong><em>– </em></strong>Ensure consistency and regulatory alignment of monitoring practices across jurisdictions.</p></li><li><p><strong>Policy Ownership and Implementation</strong></p><p><strong><em>– </em></strong>Own and oversee the annual review and update of policies and procedures related to monitoring, communication standards, AML/Compliance practices within Tied Agencies. Ensure that local offices adapt and adhere to the group’s policies and regulatory expectations.</p></li><li><p><strong>Governance and Reporting</strong></p><p><strong><em>– </em></strong>Undergo annual Tied Agents Audist under different European NCAs.</p><p><strong><em>– </em></strong>Monitor and supervise compliance function in Tied Agents where the function is represented by a designated officer.</p><p><strong><em>– </em></strong>To implement CMProgram by local resources of HQ compliance team in Tied Agents in the absence of the regional designated officer.</p></li><li><p><strong>Quality Assurance and Risk Escalation</strong></p><p><strong><em>– </em></strong>Supervise the preparation of monthly and annual reports on the performance of monitoring activities across Tied Agents. Identify trends, recurring issues, and key risks to be addressed at the management level.&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;</p><p><strong><em>– </em></strong>Review outputs of monitoring processes performed by local teams or compliance officers; ensure adequacy of escalation and remediation procedures.&nbsp; Coordinate root cause analysis and corrective action plans where systematic breaches or issues are identified.</p></li><li><p><strong>Leadership and Stakeholder Coordination</strong></p><p><strong><em>– </em></strong>Act as the primary point of contact for monitoring-related matters within the Compliance function, liaising with local Compliance Officers, Heads of Office, and IT teams.</p><p><strong><em>– </em></strong>Lead internal briefings, cross-functional meetings, and ensure alignment with internal audit, risk management, and legal departments.</p></li><li><p><strong>Training and Culture Development</strong></p><p><strong><em>–</em></strong>Set standards and coordinate training initiatives related to compliant communication, AML awareness, and conduct expectations across the Tied Agency network.</p><p><strong><em>– </em></strong>Promote a culture of compliance, transparency, and accountability.</p></li><li><p><strong>Advisory and Continuous Improvement</strong></p><p><strong><em>– </em></strong>Provide strategic advice to local and group-level Customer Support and Business teams on monitoring risk exposure.</p><p><strong><em>– </em></strong>Propose and implement enhancements to the monitoring methodology, KPIs, and internal control environment.</p></li></ol>

Requirements: <ol><li>Degree in Law, Compliance, Business Administration, or a related field;</li><li>3+ years of experience in compliance, monitoring, or regulatory oversight, ideally in investment services or brokerage;</li><li>Proven leadership and project management skills;</li><li>Experience managing cross-border teams or multi-office functions;</li><li>Deep understanding of EU regulatory landscape, AML/CTF requirements, and conduct rules;</li><li>Strong written and verbal communication skills in English (additional EU language is a plus).</li></ol>