Senior Compliance Monitoring Manager

Senior Compliance Monitoring Manager

Purpose of Role:

To lead, undertake and oversee all compliance monitoring activity, ensuring issues and risks of a compliance and regulatory nature are appropriately managed. Ensure compliance maintains a culture of high-quality customer care and provides effective compliance support to the business within agreed regulatory control frameworks.

Key Responsibilities:

• Develop a thorough understanding of the business and the regulatory landscape in which it operates.
• Ensure adherence to regulatory requirements and internal policies by developing a monitoring programme and conducting risk assessments.
• Undertake regular monitoring reviews to identify potential violations and areas of non-compliance.
• Ensure effective compliance policies, procedures and controls are in place in line with regulatory obligations and expectations, including but not limited to MiFID, GDPR, SMCR, RDR, AMLD, etc.
• Identify, monitor and, where appropriate, challenge compliance or regulatory issues that may arise within the business.
• Develop a strong understanding of business operations and identify ways to improve practices, supporting delivery beyond basic regulatory and legislative requirements to enhance growth and success.
• Support delivery of the business acquisition strategy and ensure compliance representation across all acquisition projects.
• Ensure compliance risks are appropriately identified and managed effectively, providing direction on corrective measures to the compliance advisory team and the wider business so that risks remain within agreed parameters.
• Produce and present compliance monitoring reports to relevant boards and committees.
• Promote a strong risk and compliance culture across the organisation.
• Encourage effective risk management processes, fostering a risk-aware culture that enables informed and transparent decision-making aligned with business and risk strategy.

Experience / Skills Required:

• Significant experience working in compliance with a strong understanding of FCA rules.
• Proven compliance monitoring experience within a wealth management or financial planning business.
• Confident advising and guiding senior stakeholders on compliance matters.
• Experience delivering training and supporting employees on compliance topics.
• Strong problem-solving skills, particularly in complex compliance scenarios.
• Experience improving processes to ensure regulatory compliance and operational effectiveness.
• Proficient in MS Word, Outlook, PowerPoint and Excel.
• Strong written and verbal communication skills.
• High attention to detail and accuracy.

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