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Compliance Monitoring Manager

  • Salary: Competitive, benefits
  • Location: Leeds, West Yorkshire
  • Sector: Compliance
  • Job type: Permanent
  • Date posted:
    30 Nov 2018
  • Job reference: 32019

My client is currently looking for a Compliance Monitoring Manager to join their team in Leeds.

Main responsibilities

  • To supervise the monitoring team on a day to day basis to help achieve targets and monitor business risks in accordance with regulatory requirements and internal procedures
  • To agree a risk-based monitoring plan
  • To identify gaps and develop, implement and monitor the rules and guidance
  • Deputise for and support the Compliance Director as required
  • Develop and maintain risk monitoring function
  • Create and implement an effective interfaced monitoring programme across the business
  • Ensure compliance with the FCA requirements by assisting policy and development in the maintenance and development of branch and department manuals and implementing and monitoring procedures to ensure the requirements are being followed
  • Carry out responsibilities for staff training and development, including supervision, appraisals and the monitoring and assessment of personal development objectives
  • Provide both internal and external presentations as required
  • Ensure that effective supervision takes place for all CF30s and other staff by monitoring adherence to CPD and training and competence guidelines
  • Ensure effective and timely approvals of financial promotions, monitoring of audit limits, overdue accounts
  • Take responsibility for dealing with customer complaints efficiently and effectively including contributing to FOS responses
  • Contribute to the formulation of a risk-based T&C scheme for CF30s and back office
  • To provide MI which is relevant and accurate to enable TCF reporting and monitoring, providing support as required


Ideally educated to degree or equivalent standard, minimum CISI or equivalent (Level 4). Sound knowledge of FCA regulations, having passed or be actively working towards CISI Regulatory and Securities modules or equivalent IOC, CII, IFS, IFP module.


25 days holiday plus bank holidays, discretionary bonus, contributory pension, private medical care and cycle to work scheme.

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