Job Description
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.nnReporting 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.nnThis position offers a high level of autonomy, strategic input, and exposure to senior decision-makers within a well-established regulated environment.nnKey Responsibilitiesnn * Own, develop and deliver a risk-based Compliance Monitoring Plan, aligned to FCA regulatory expectationsnn * Identify, analyse and obtain key Management Information (MI) to support ongoing monitoringnn * Carry out monitoring reviews including routine testing, deep-dive reviews and thematic assessmentsnn * Design and document appropriate compliance tests and methodologiesnn * Draft Terms of Reference for compliance reviews and agree scope with senior stakeholdersnn * Produce clear, concise and engaging Board-level compliance reportsnn * Agree remediation actions with the business and oversee follow-up activitynn * Contribute to the wider annual compliance plan and second-line control frameworknn * Support and develop other compliance team members, providing guidance on regulatory monitoring standards and FCA expectationsnn * Undertake client file reviews to ensure adherence to internal standards and regulatory requirementsnn * Support additional compliance initiatives as required by the Head of CompliancennCandidate ProfilennEssential:nn * Proven experience working in a Compliance Monitoring environment within an FCA-regulated firmnn * Strong working knowledge of the FCA Handbook, particularly COBS, ICOBS, SYSC and Financial Crime requirementsnn * Experience of pension (SIPP / SSAS) and investment compliancenn * Confident engaging with senior stakeholders and influencing outcomesnn * Skilled in a range of monitoring techniques including desk-based reviews, interviews and shadowingnn * Excellent analytical, attention-to-detail and report-writing skillsnn * Strong IT capability across Microsoft Office applicationsnn * Awareness of the commercial impact of regulatory compliance on the businessnnThis is a great opportunity to join a highly regarded and award winning national consultancy in a management opportunity offering a varied an interesting workload, remote working, a good degree of autonomy and a generous remuneration and benefits package
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