Compliance Monitoring Lead

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 organisation’s commitment to regulatory adherence, sound governance, and industry best practice.

Key Responsibilities

• Develop and maintain a risk-based compliance monitoring plan aligned with the firm’s 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 & Experience

• CII 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 members

Additional Desired Attributes

• Excellent 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.