Compliance Monitoring Manager

Job Description:

Compliance Monitoring Manager – Remote - £50,000 - £60,000

We are seeking a hands-on Compliance Monitoring Manager to oversee the delivery of our compliance monitoring framework. You will play a critical role in ensuring regulatory requirements are met and excellent client outcomes are delivered. This role combines detailed review work, analysis, and reporting with engagement and influence across senior stakeholders – all while working fully remote.

Benefits: 

• Fully remote working
• Bonus (discretionary)
• Flexible benefits package
• Generous holiday allowance
• Pension & life assurance
• Ongoing training & development

Key Responsibilities:

• Develop and maintain a risk-based compliance monitoring plan
• Conduct detailed compliance reviews, testing, and evidence assessment
• Interpret monitoring findings, identify risks, and recommend practical actions
• Produce clear management information and support Consumer Duty reporting
• Present findings to committees and senior forums, influencing outcomes
• Track corrective actions and ensure issues are resolved effectively
• Support the development of the compliance team through coaching and knowledge sharing

Skills & Knowledge:
 

• Strong understanding of FCA rules and guidance for financial advice and discretionary investment management
• Experience in compliance monitoring, risk assessment, and reporting
• Knowledge of consumer duty, financial promotions, AML, and financial crime controls.
• Excellent analytical, organisational, and communication skills.
• IT literate, confident in Microsoft Office tools, and able to produce clear reports.

Qualifications:

• QCF Level 4 or equivalent is essential
• Relevant compliance or financial services experience is highly desirable

If you are interested in finding out more about this exciting Compliance Monitoring Manager opportunity, please click ‘apply now’.

Chase & Holland acts as an employment agency for permanent recruitment and an employment business for the supply of temporary workers. We specialise in finance, supply chain, HR, IT, and office support recruitment and comfortably service Yorkshire, Derbyshire, Nottinghamshire, Leicestershire, Staffordshire, and Lincolnshire.