Senior Compliance Monitoring Manager

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  • Salary:

    £55,000 - £65,000

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  • Published:

    about 2 years ago

Well known, longstanding financial services firm are looking to recruit a Senior Compliance Monitoring Manager to be located in their central Manchester offices.  Acting as the deputy to the Head of Compliance, the role has responsibility to monitor and assess the effectiveness of policies and procedures to ensure compliance with the firm’s regulatory obligations by carrying out the Compliance Monitoring Plan.



  • Responsible for developing and delivering the Compliance Monitoring Plan (CMP) within assigned deadlines, ensuring weaknesses are reported and escalated in the appropriate manner to fulfil the ‘second line of defence’ responsibilities.
  • Leading the review of core business controls and processes as part of the CMP, ensuring that regulatory and business standards, policies and procedures are adhered to. Assessing the effectiveness of existing business controls and identifying areas which need to be improved.
  • Responsible for ensuring that all CMP working papers are maintained to a high standard.
  • Responsible for effective liaison with stakeholders to discuss findings and exceptions. Providing constructive challenge, along with recommendations for change to relevant business areas.
  • Responsible for production of high quality reports, which summarise output of CMP activity for consumption by key stakeholders, escalating exceptions identified in line with procedures
  • Responsible for developing and producing regular Compliance reports for Executive Risk Committee and Board Risk Committee, containing relevant, timely and informative updates on CMP.
  • Lead on the delivery and embedding of a strong Compliance culture across the organisation.
  • Provide expertise and support to the Compliance Managers and Analysts to enable effective oversight and challenge
  • Represent the Compliance function in relevant forums, meetings and working groups as a subject matter expert to identify, review and assess regulatory issues that may impact the business
  • Build excellent relationships with colleagues in the Risk department to ensure the 2nd line of defence works in an aligned and unified manner.
  • Deputise for the Head of Compliance at appropriate meetings


Experience Required:

  • Experience of working within a financial services regulated firm, preferably within a compliance function
  • Up to date knowledge and understanding of both internal and external developments in the area of Compliance including developing regulatory requirements and industry best practices.
  • Confidence to constructively challenge existing processes and controls with colleagues at all levels
  • Demonstrate the ability to positively manage conflict
  • Well organised with strong administrative skills and attention to detail
  • Ability to collate and analyse large volumes of complex data and interpret high level policies and regulations in a time-critical environment for onward communication at all levels including Senior and Executive Management, and externally


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.