Back to Job Search

Compliance Monitoring Manager - Home Based

  • Location: Birmingham
  • Salary: + benefits per year
  • Job Type:Permanent

Posted about 1 year ago

  • Sector: Compliance
  • Contact: Paul Clayton
  • Contact Email:
  • Expiry Date: 31 July 2020
  • Job Ref: PC/16747

The role is to design and implement the compliance monitoring plan within the business and will include compliance oversight on a risk basis of key third-party suppliers. It will follow the framework of a risk-based compliance monitoring programme plus investigate any relevant or material issues/exceptions. 

Key responsibilities include:


  • Develop a risk-based compliance monitoring plan fit for the company’s size, scale and complexity.
  • Delivering and implementing risk-based compliance monitoring reviews as detailed within the annual compliance monitoring plan.
  • Ensure compliance monitoring methodology and reporting is adopted by the business and to oversee that business compliance arrangements are delivered within the appropriate risk appetite, regulatory tolerances and regulatory requirements. 
  • Prepare necessary reports including findings, actions for key stakeholders, covering monitoring exceptions and progress within the monitoring plan. 
  • Assist the CRO with the preparation of reports to relevant boards and committees, highlighting any specific high-risk areas, management of actions and progress against the compliance monitoring programme. 
  • Maintain awareness of global regulatory developments with regards to all activities undertaken by the business. 
  • Provide technical support to the wider compliance and risk team to maximise added value and efficient use of resources.  
  • Promote a good risk and compliance culture across the business.



The Person:


  • Significant experience of working in compliance and understanding of the FCA rules
  • Confident guiding senior executives on compliance matters
  • Confident solving complex compliance related problems
  • Experience of improving processes to ensure the company is compliant and performing effectively