Compliance Monitoring Manager

Compliance Monitoring Manager required by a niche financial services and insurance client based in the South West.



This is an expansion role within the Risk and Compliance team as my client seeks to strengthen the definition between the 1st and 2nd line of defence. We seek an experienced compliance professional who is keen to take primary responsibility for compliance monitoring across the business and is able to lead and mentor a small team.



Supported by the Head of Risk and Compliance, you will make a significant contribution to the effectiveness of the Compliance monitoring function throughout the business which is managed through the development and maintenance of robust monitoring, provision of comprehensive support and ongoing analysis of regulatory risk.

• You will work proactively within the business, developing relationships with stakeholders to promote best practice with the aim of reducing regulatory risks.
• Monitoring and reviewing business activities covered by FCA and PRA rules to ensure that the business and management meet regulatory obligations, communicating the findings effectively to all levels.
• To provide pro-active follow up to issues raised in monitoring reviews to ensure that they are concluded within acceptable timescales.
• To produce monthly reports.

The role holder will also provide development support for the wider risk and compliance function.



Desirable experience:

• Previous experience in compliance monitoring withing financial services.

Excellent interpersonal and organisational skills.

Possessing an attention to detail with a focused commitment to achieving quality.

• Ability to communicate appropriately at all levels.

The successful candidate is likely to be ambitious and this is a team that is expected to grow in the future, so future career opportunities within the organisation are enormous. Strong communication and written report writing skills are essential for the role and there will be a written test as part of the interview process. This role is currently based remotely due to Covid but in time will return to the offices for part of the week. The offices are located in the South West.

Interviews will take place remotely.

Please click to apply for more information and to book a confidential career discussion.