A leading FCA-regulated financial services business is looking to appoint a Senior Compliance Monitoring Manager to lead and develop its Compliance Monitoring function.
This is a key hire with responsibility for taking ownership of the existing Compliance Monitoring Programme (CMP), undertaking a significant overhaul of the framework and then leading the Compliance Monitoring function going forward.
This is a Regulatory Compliance Monitoring role and is not focused on Financial Crime / AML Monitoring.
Senior Compliance Monitoring Manager – Key Responsibilities
- Lead the redesign and implementation of the Compliance Monitoring Programme (CMP).
- Own and continually enhance the Compliance Monitoring framework and annual monitoring plan.
- Manage and develop a small, high-performing Compliance Monitoring team.
- Lead risk-based compliance monitoring reviews across the business.
- Ensure findings and remediation actions are appropriately identified, reported and progressed.
- Work closely with senior stakeholders across Compliance and the wider business.
- Drive continuous improvement across the Compliance Monitoring function.
Senior Compliance Monitoring Manager – Experience Required
- Strong Compliance Monitoring experience within an FCA-regulated financial services environment.
- Proven experience owning, redesigning or significantly enhancing a Compliance Monitoring Programme.
- Previous experience managing a Compliance Monitoring team.
- Strong knowledge of FCA regulation and risk-based compliance monitoring methodologies.
- Experience gained within a fast-paced trading, investment, brokerage or similar financial services environment would be particularly relevant.
- A proactive and hands-on approach with the ability to take ownership, challenge existing ways of working and drive change.
- Strong stakeholder management and communication skills.
This is an excellent opportunity for an experienced Senior Compliance Monitoring Manager who wants to take ownership of a function and have the autonomy to reshape and develop the CMP rather than simply maintain an established programme.
Location: London – Hybrid
Salary: c.£125,000 + package
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