A leading UK financial services consultancy is seeking an experienced Compliance Monitoring Manager to join a growing second‑line compliance function. This is a senior role with responsibility for development, delivery and oversight of a risk‑based Compliance Monitoring Plan across FCA‑regulated businesses.
Reporting to the Head of Compliance, the role plays a key part in ensuring robust regulatory oversight, strong governance, and positive consumer outcomes. The successful candidate will work closely with senior stakeholders and contribute directly to Board‑level reporting.
This position offers a high level of autonomy, strategic input, and exposure to senior decision‑makers within a well‑established regulated environment.
Key Responsibilities
- Own, develop and deliver a risk‑based Compliance Monitoring Plan, aligned to FCA regulatory expectations
- Identify, analyse and obtain key Management Information (MI) to support ongoing monitoring
- Carry out monitoring reviews including routine testing, deep‑dive reviews and thematic assessments
- Design and document appropriate compliance tests and methodologies
- Draft Terms of Reference for compliance reviews and agree scope with senior stakeholders
- Produce clear, concise and engaging Board‑level compliance reports
- Agree remediation actions with the business and oversee follow‑up activity
- Contribute to the wider annual compliance plan and second‑line control framework
- Support and develop other compliance team members, providing guidance on regulatory monitoring standards and FCA expectations
- Undertake client file reviews to ensure adherence to internal standards and regulatory requirements
- Support additional compliance initiatives as required by the Head of Compliance
Candidate Profile
Essential
- Proven experience working in a Compliance Monitoring environment within an FCA‑regulated firm
- Strong working knowledge of the FCA Handbook, particularly COBS, ICOBS, SYSC and Financial Crime requirements
- Experience of pension (SIPP / SSAS) and investment compliance
- Confident engaging with senior stakeholders and influencing outcomes
- Skilled in a range of monitoring techniques including desk‑based reviews, interviews and shadowing
- Excellent analytical, attention‑to‑detail and report‑writing skills
- Strong IT capability across Microsoft Office applications
- Awareness of the commercial impact of regulatory compliance on the business
This is a great opportunity to join a highly regarded and award‑winning national consultancy in a management role offering a varied and interesting workload, remote working, a good degree of autonomy and a generous remuneration and benefits package.
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