Compliance Monitoring Manager

We are excited to be partnering with a rapidly growing Investment Manager based in Leeds looking for a Compliance Monitoring Manager to lead the monitoring function.

• Develop and implement a risk-based Compliance and Central Monitoring Plan that aligns with risk appetite and regulatory requirements.
• Deliver the monitoring plan for Client-Facing Executives, including oversight of branch visits and related activities.
• Provide second-line assurance through oversight and Training & Competency monitoring.
• Oversee the execution and timely completion of thematic reviews and regular testing, including complex thematic assessments.
• Draft and maintain procedures for new or revised regular testing activities.
• Identify weaknesses or gaps within the compliance framework through targeted reviews, testing, and analytical assessments.
• Prepare comprehensive compliance reports for senior management and the Board, summarizing key findings, emerging risks, and recommended remediation actions.

• Minimum of CISI or CII level 4 qualifications and working towards Level 6
• Minimum of 5 years’ Compliance experience within the financial services or a similar regulated industry.

Leeds (hybrid working)

up to £75,000 (plus bonus & benefits)

For further information please contact dani

Mid-Senior level

Full-time

Other

Financial Services and Investment Management