We are looking for a SIPP Compliance Monitoring Manager to play a key role in supporting and delivering an effective compliance oversight framework across FCA-regulated entities.
Reporting to the Head of Compliance, you will be responsible for the development, ownership and delivery of a risk-based Compliance Monitoring Plan. This includes identifying key regulatory risks, conducting targeted reviews, and producing clear, insightful reporting for senior management and Board-level audiences.
The role is focused on ensuring that business processes, activities and controls remain aligned with all applicable FCA rules, guidance and principles. Through a combination of deep-dive reviews, thematic work and routine monitoring, you will help drive good consumer outcomes and a strong culture of compliance.
As part of a small, high-performing second line Compliance team, you will also support the development of colleagues, helping to build capability and ensure monitoring activity is delivered to a consistently high standard in line with FCA expectations.
Key Responsibilities
- Identify, analyse and interpret management information (MI) to support ongoing compliance monitoring
- Develop and maintain the annual Compliance Monitoring Plan, including scope, methodology and testing frequency
- Deliver monitoring reviews in line with the agreed plan, including both deep-dive and thematic assessments
- Design and document appropriate testing methodologies for compliance reviews
- Draft terms of reference for monitoring activities and agree scope with key stakeholders
- Produce clear, engaging and insightful reports for senior management and Board committees
- Contribute to the broader Compliance Plan and second line control framework
- Conduct client file reviews to ensure adherence to internal standards and regulatory requirements
- Work with stakeholders to agree practical and effective remediation actions
- Support wider compliance initiatives and ad hoc projects as required
- Proven experience within a Compliance Monitoring role
- Strong knowledge of the FCA Handbook, particularly COBS, ICOBS, SYSC and Financial Crime requirements
- Experience in investment-related compliance
- Ability to engage effectively with a wide range of stakeholders and influence outcomes
- Experience using a variety of monitoring techniques (e.g. desk-based reviews, interviews, shadowing)
- Strong analytical, attention to detail and report writing skills
- Good working knowledge of Microsoft Office tools
- Understanding of the commercial impact of regulatory requirements
- Knowledge of pensions, including SIPP and/or SSAS arrangements
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