Compliance Monitoring Lead

Job Description One of our established Financial Service clients are seeking an experienced Compliance Monitoring Manager to enhance their second-line oversight capabilities. This role is central to ensuring robust monitoring of compliance risks and supporting the organisations commitment to regulatory adherence, sound governance, and industry best practice.Key ResponsibilitiesDevelop and maintain a risk-based compliance monitoring plan aligned with the firms risk appetite.Deliver monitoring for client-facing executives, including oversight of branch reviews.Lead second-line assurance monitoring, thematic reviews, and regular testing activities.Draft and update procedures supporting new monitoring processes.Track and validate management actions, escalating significant findings when required.Produce clear and comprehensive compliance reports for senior management and the Board.Provide practical recommendations to first-line teams to strengthen controls.Oversee second-line Training & Competency (T&C) monitoring.Collaborate with Risk & Compliance, Internal Audit, Front Office, and other teams across the business.Ensure monitoring in areas such as suitability, branch procedures, and execution-only services meets high standards.Contribute to team management activities including recruitment, onboarding, performance reviews, and development.Desired Qualifications & ExperienceCII qualification at Level 4, with progression toward Level 6.A minimum of five years experience in compliance within financial services or another highly regulated environment.Proven background in managing or supervising team membersAdditional Desired AttributesExcellent stakeholder management skills and strong written and verbal communication.Thorough knowledge of regulatory requirements and investment management processes.Exceptional attention to detail with strong analytical thinking.Confident leader with the ability to foster a collaborative and positive team environment.Self-driven, proactive, and dedicated to maintaining high standards of integrity and professional conduct.

Created: 2025-12-18