Compliance Monitoring Manager

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  • Salary:

    £50,000 - £60,000 pa

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  • Published:

    over 1 year ago


With various awards for market leading products, and after a period of significant growth, a Compliance Monitoring Manager is required to join one of the Uks fastest growing financial services firms located in Birmingham.  Reporting to the Head of Conduct and Regulatory Risk, this position will be new to the firm, and have responsibility for delivering the firms Compliance Monitoring Programme. 


  • Develop, plan and implement the firms Compliance Monitoring framework, processes and procedures in line with industry and regulatory standards and risk appetite.
  • Leading compliance monitoring reviews covering the firms activities and processes which includes preparing terms of reference, testing the effectiveness of controls, agreeing findings with key stakeholders and tracking the issues to closure.
  • Evaluate and ongoing review and update of progress and effectiveness of the Compliance Risk Universe.
  • Influence and guide internal stakeholders to ensure the successful implementation of the compliance monitoring framework and the resolution of issues/actions.
  • Collate ad-hoc and periodic regular compliance monitoring Management Information (MI) and analyse and interpret trends and issues to provide assurance to key internal governance forums and identify priorities and recommend appropriate actions/solutions.
  • Reviewing and updating compliance monitoring procedures to drive continuous improvement.
  • Proactively develop own knowledge of regulatory compliance keeping abreast of regulatory developments and share best practice with members of the wider Compliance Team.
  • Deliver one off activities and projects to the outcomes and standards agreed with line manager.

Experience Required

  • Extensive experience in a Compliance or Audit related role within financial services
  • In depth knowledge of FCA Principles, Conduct Risk and all relevant FCA Handbooks and in particular SYSC, PRIN, DISP, BCOBS and MCOB
  • Strong organisational and personal effectiveness skills, including time and resource management
  • Excellent oral, written communication and facilitation skills as well as the ability to present confidently and work effectively with staff and management at all levels
  • Ability to display a range of influencing styles
  • Excellent report writing skills
  • Ability to investigate, analyse and interpret MI
  • Excellent attention to detail and accuracy
  • Good working knowledge of Microsoft Office
  • IT literate with the ability to effectively use all Bank proprietary systems relevant to role