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Compliance Monitoring Manager

  • Location: England
  • Salary: £50,000 - £55,000 + Benefits per year
  • Job Type:Permanent

Posted about 1 year ago

  • Sector: Compliance
  • Contact: Sam Anderson
  • Contact Email:
  • Contact Phone: 0161 883 2765
  • Expiry Date: 02 November 2023
  • Job Ref: SA/10582

We are partnered with a growing Fintech business in their search for a Compliance Monitoring Manager. The role is home based with a couple of days a month in the Manchester or Bristol office for meetings.


The primary function of the Compliance Monitoring Manager is to identify regulatory risk as per the risk-based compliance monitoring plan and assist the Head of Compliance in developing a strategic approach to Risk & Compliance.


Main Responsibilities:

  • To ensure that the firm is effective in delivering appropriate advice, guidance, and challenge to the business in ensuring risks and regulatory requirements are met.
  • Working with the business to ensure that all regulatory, operational and conduct risks that impact the Departments are identified, assessed, and have appropriate controls that are appropriately monitored.
  • To provide effective and efficient Risk & Compliance support whilst facilitating a good working knowledge of regulatory risk requirements within the business, through strong communication and decisive remediations plans, as necessary.
  • Manages performance and works to achieve results against the planned Compliance Plan, including Appointed Representative (AR) activity in the specified period.
  • Draft monitoring terms of reference, test scripts and resultant reports in relation to compliance activity.
  • Key to the role is independency and objectivity. At the same time, the individual will serve as a strategic partner to the business in monitoring governance, risk management and the control environment as per the Compliance plan.

Key Skills & Experience:

  • Extensive experience in a Compliance Monitoring field, preferably in consumer credit and/or mortgages (CONC/MCOB).
  • Experience of managing projects, particularly in Risk & Compliance and governance preferred.
  • Specialised Knowledge – Current and actively maintained knowledge of the regulatory environment.
  • Working knowledge of the FCA handbook.
  • Good knowledge of operations and processes.
  • Skills – Microsoft Office package to an intermediate level
  • Professional Certification – Compliance or Risk Management Qualification


Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately, your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.

If you would like this job advertisement in an alternative format, please contact MERJE directly.