Compliance Monitoring Manager

  • Location

    London, England

  • Sector:

    Banking & Financial Services

  • Job type:


  • Salary:

    Up to £75000 per annum

  • Contact:

    Jack Hitching

  • Contact email:

  • Job ref:


  • Published:

    11 months ago

  • Expiry date:


  • Consultant:


The Compliance Monitoring Manager will:

  • Assist in the completion of effective risk assessments to drive the UK ( European for Capital Markets) Compliance Monitoring Plan;
  • Under the stewardship of the Head of Compliance Monitoring, Europe: o Lead and deliver timely and accurate compliance monitoring reviews that opine on the adequacy of 1st and 2nd line systems, controls and processes to manage Regulatory and Conduct risk; Work with Compliance and business colleagues to track and advise ( where appropriate) on the appropriateness of actions plans to resolve issues identified during monitoring reviews;
  • Contribute towards the continual enhancement of the monitoring approach and annual monitoring program (including providing ideas for developing/improving the approach to continuous business monitoring and, where relevant, enhancing the existing Enterprise Monitoring and Testing control standards);
  • Assist in the delivery of timely responses to internal audit and external regulatory enquiries; and
  • Support ad-hoc projects and activities as required (methodology improvements; stakeholder management; committee reporting).

Please note our advertisements use PQE/salary levels purely as a guide. However we are happy to consider applications from all candidates who are able to demonstrate the skills necessary to fulfil the role.

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