Job Details

Compliance Monitoring Manager

CMMRP00124
  • Up to £95,000
  • London
  • Permanent

Start date: ASAP.

Contract: Permanent

Salary: Up to £95,000 + discretionary bonus + additional benefits

Days on-site: Whilst in probation 5 days a week, then 3 days a week with Monday as core day.

Location: London

Interview times: ASAP.


Compliance Monitoring Manager is required by our client in City of London within Financial Services to take ownership of multiple aspects of internal, market conduct, and consumer protection compliance; including any associated second-line controls, and manages advisory and regulatory change projects. As Compliance Monitoring Manager, your primary focus will be to design and maintain testing and monitoring programmes for each relevant regulatory area (financial promotions, product governance or others depending on your experience). In a dynamic and complex environment with growing regulatory challenges and product and process innovations, your role will require addressing regulatory change by identifying required systems and controls adaptations.

As Compliance Monitoring Manager separate from anti-money laundering (AML) related tasks, as a different monitoring plan covers these. The Compliance Monitoring Manager will be instrumental collaborating with other General Compliance team members at the Pan-European level, other Compliance teams and other subject matter experts and stakeholders, providing an excellent opportunity for personal and professional development.

Working in a hybrid working culture, initially within probation the expectation is to be on-site five days a week as Compliance Monitoring Manager. Once through this period, there is greater flexibility to be on-site for three days a week; with Mondays being a core day for the whole business. Daily lunch is offered from a variety of vendors and additionally there are excellent benefits for this Compliance Monitoring Manager


Compliance Monitoring Manager permanent profile required:

  • An accomplished background of at least 3 years in regulatory compliance, audit or risk function in an investment or platform-based environment, ideally within areas of General Compliance or Investment Compliance.
  • Well-versed in the applicable regulatory framework, including Conduct Risk, Consumer Duty, COBS, PERG, SYSC, PROD and other relevant FCA sourcebooks.
  • Solid fundamentals in analytical, problem-solving, organisation and follow-up skills.
  • A pragmatic, commercial and creative approach to problem-solving and decision-making.
  • Prowess as a keen collaborator with great people skills who can effectively collaborate with colleagues throughout the business to build strong relationships and achieve results.
  • A good command of working with technology and a functional understanding of how technology can be applied to business and regulatory solutions (strong Excel skills are a must).
  • An ability to work under pressure and handle changing priorities/deadlines as well as formulate and articulate solutions and defend assumptions.
  • Ideally, have a degree or similar qualification.
Robert Pollington Associate Director

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