Compliance Monitoring Manager

  • Location

    City of London, London

  • Sector:

    Financial Planning , Wealth Management

  • Job type:


  • Salary:

    £60000 - £70000 per annum + Benefits & Bonus

  • Contact:

    Benjamin Holmes

  • Contact email:

  • Job ref:


  • Published:

    10 months ago

  • Expiry date:


  • Consultant:


Our client, a National Financial Planning business with offices throughout the UK, currently seek to recruit for a Compliance Monitoring Manager to join their team. THIS ROLE IS HOME BASED.

Package is to £70,000 plus bonus & benefits.


  • To ensure the effective provision of 2nd line assurance activity in the form of compliance monitoring and to assess the adequacy of systems and controls in place across the businesses and to mitigate against key regulatory and risk types.
  • The role is to design and implement the compliance monitoring plan within the business and will include compliance oversight on a risk basis of key third-party suppliers. It will follow the framework of a risk-based compliance monitoring programme plus investigate any relevant or material issues/exceptions.
  • This is a certification function role.


  • Develop a risk-based compliance monitoring plan fit for Ascot Lloyd's size, scale and complexity.
  • Delivering and implementing risk-based compliance monitoring reviews as detailed within the annual compliance monitoring plan.
  • Ensure compliance monitoring methodology and reporting is adopted by the businesses business and to oversee that business compliance arrangements are delivered within the appropriate risk appetite, regulatory tolerances and regulatory requirements.
  • Prepare necessary reports including findings, actions for key stakeholders, covering monitoring exceptions and progress within the monitoring plan.
  • Assist the CRO with the preparation of reports to relevant boards and committees, highlighting any specific high-risk areas, management of actions and progress against the compliance monitoring programme.
  • Maintain awareness of global regulatory developments with regards to all activities undertaken by the business.
  • Provide technical support to the wider compliance and risk team to maximise added value and efficient use of resources.
  • Promote a good risk and compliance culture at the company.

Experience and core skills

  • Significant experience of working in compliance and understanding of the FCA rules
  • Confident guiding senior executives on compliance matters
  • Confident solving complex compliance related problems
  • Experience of improving processes to ensure the company is compliant and performing effectively
  • Proficient in MS Word, Outlook, PowerPoint and Excel
  • Good communicator, both written and verbal
  • Keen eye for detail and accuracy