Compliance Manager

A leading UK financial services consultancy is seeking an experienced Compliance Monitoring Manager to join a growing second-line compliance function. This is a senior role with responsibility for development, delivery and oversight of a risk-based Compliance Monitoring Plan across FCA-regulated businesses.

Reporting to the Head of Compliance, the role plays a key part in ensuring robust regulatory oversight, strong governance, and positive consumer outcomes. The successful candidate will work closely with senior stakeholders and contribute directly to Board-level reporting.

This position offers a high level of autonomy, strategic input, and exposure to senior decision-makers within a well-established regulated environment.

Key Responsibilities

• Own, develop and deliver a risk-based Compliance Monitoring Plan, aligned to FCA regulatory expectations
• Identify, analyse and obtain key Management Information (MI) to support ongoing monitoring
• Carry out monitoring reviews including routine testing, deep-dive reviews and thematic assessments
• Design and document appropriate compliance tests and methodologies
• Draft Terms of Reference for compliance reviews and agree scope with senior stakeholders
• Produce clear, concise and engaging Board-level compliance reports
• Agree remediation actions with the business and oversee follow-up activity
• Contribute to the wider annual compliance plan and second-line control framework
• Support and develop other compliance team members, providing guidance on regulatory monitoring standards and FCA expectations
• Undertake client file reviews to ensure adherence to internal standards and regulatory requirements
• Support additional compliance initiatives as required by the Head of Compliance

Candidate Profile

Essential:

• Proven experience working in a Compliance Monitoring environment within an FCA-regulated firm
• Strong working knowledge of the FCA Handbook, particularly COBS, ICOBS, SYSC and Financial Crime requirements
• Experience of pension (SIPP / SSAS) and investment compliance
• Confident engaging with senior stakeholders and influencing outcomes
• Skilled in a range of monitoring techniques including desk-based reviews, interviews and shadowing
• Excellent analytical, attention-to-detail and report-writing skills
• Strong IT capability across Microsoft Office applications
• Awareness of the commercial impact of regulatory compliance on the business

This is a great opportunity to join a highly regarded and award winning national consultancy in a management opportunity offering a varied an interesting workload, remote working, a good degree of autonomy and a generous remuneration and benefits package.