Compliance Monitoring Manager

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  • Salary:

    £50,000 - £60,000

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  • Published:

    over 2 years ago

The Compliance Monitoring Manager will work within a small team to ensure legal and regulatory compliance is maintained in a manner that helps maximize business opportunity. Regulatory compliance is paramount to the business and you will be responsible for ensuring that the business and its activities via the implementation of its annual compliance monitoring plan operates in an effective manner whilst meeting its regulatory and industry expectations.


  • Lead and/or support HORC in the undertaking of compliance monitoring reviews in accordance with the annual monitoring plans and ad-hoc reviews
  • Able to determine scope of work and conduct testing in a timely manner to ensure plan delivery
  • Identify via monitoring reviews, any areas of non-compliance of the regulations and internal policies and report accordingly
  • Conduct review meetings with Executive and senior management to provide any findings of non-compliance in a pragmatic and collaborative manner
  • Engage and challenge the business when discussing monitoring issues and effectively influence change where appropriate
  • Draft and issue succinct compliance reports highlighting relevant findings and recommendations
  • Oversee and mentor the compliance testing associate to ensure 2nd line testing is concluded in accordance with the framework
  • Support the business in developing and implementing relevant action plans to mitigate re-occurrence of non-compliance issues identified via the reviews
  • Own and manage the compliance review tracking software solution (with the support of the Testing Associate) to ensure that identified issues are adequately addressed within appropriate timeframes and ensure escalation to HORC where necessary
  • Collate Compliance Monitoring MI to be presented at Committees and/or Board level
  • Maintain internal compliance monitoring process documents, procedures and records
  • Provide support and perform other functions as may be assigned by the Head of Risk and Compliance and management
  • Establish effective relationships with the business to facilitate a robust and positive compliance culture whilst supporting the commercial objectives across the organization
  • Attend regulatory and industry seminars and/or workshops as required
  • Maintain level of regulatory and industry knowledge


  • Minimum 5 years’ experience in a FCA regulated environment role with significant Compliance Monitoring experience
  • Strong working knowledge of the bespoke FCA rules applicable to our organization with a strong focus on fair customer outcomes
  • Risk Management experience preferred
  • Knowledge of GDPR legislation, corporate governance, regulatory complaint handling, Anti-Money laundering and Financial Crime requirements, Anti-bribery and be able to apply regulatory & industry knowledge to identify any irregularities whilst conducting reviews
  • Excellent verbal and report writing skills, having the ability to interpret and present complex regulatory requirements to simplified justifiable findings
  • Excellent time management skills
  • Able to balance compliance and commercials and mindful of proportionality as bespoke to our organization and its activities
  • Self- starter and ability to work independently on own initiative i.e. with limited supervision
  • Strong multi-tasking abilities
  • Proficient in Excel and Word
  • Flexible and able to quickly adapt to change


  • Professional and approachable demeanour
  • Excellent inter-personal skills both professionally and socially i.e. be able to adapt to working environment
  • Excellent people person and positive outlook
  • Experience in consumer credit financial services
  • Positive and energetic
  • Ability to quickly implement feedback, coaching and training as provided