Senior Compliance Monitoring Manager

A leading FCA-regulated financial services business is looking to appoint a Senior Compliance Monitoring Manager to lead and develop its Compliance Monitoring function.

This is a key hire with responsibility for taking ownership of the existing Compliance Monitoring Programme (CMP), undertaking a significant overhaul of the framework and then leading the Compliance Monitoring function going forward.

This is a Regulatory Compliance Monitoring role and is not focused on Financial Crime / AML Monitoring.

Senior Compliance Monitoring Manager – Key Responsibilities

1. Lead the redesign and implementation of the Compliance Monitoring Programme (CMP).
2. Own and continually enhance the Compliance Monitoring framework and annual monitoring plan.
3. Manage and develop a small, high-performing Compliance Monitoring team.
4. Lead risk-based compliance monitoring reviews across the business.
5. Ensure findings and remediation actions are appropriately identified, reported and progressed.
6. Work closely with senior stakeholders across Compliance and the wider business.
7. Drive continuous improvement across the Compliance Monitoring function.

Senior Compliance Monitoring Manager – Experience Required

1. Strong Compliance Monitoring experience within an FCA-regulated financial services environment.
2. Proven experience owning, redesigning or significantly enhancing a Compliance Monitoring Programme.
3. Previous experience managing a Compliance Monitoring team.
4. Strong knowledge of FCA regulation and risk-based compliance monitoring methodologies.
5. Experience gained within a fast-paced trading, investment, brokerage or similar financial services environment would be particularly relevant.
6. A proactive and hands-on approach with the ability to take ownership, challenge existing ways of working and drive change.
7. Strong stakeholder management and communication skills.

This is an excellent opportunity for an experienced Senior Compliance Monitoring Manager who wants to take ownership of a function and have the autonomy to reshape and develop the CMP rather than simply maintain an established programme.

Location: London – Hybrid

Salary: c.£125,000 + package