Manager, Compliance Monitoring
Core
Assessing the adequacy, adherence to, and effectiveness of day-to-day controls to manage regulatory compliance risk within a financial institution.
Role type
Manager, Compliance Monitoring
Builds
Compliance Monitoring Plan, regulatory compliance reports, and mitigation plans for identified risks.
Domain
Financial Services / Regulatory Compliance
Deliverable
dashboards & analysis
Required skills
Compliance monitoring methodologies, Financial regulation (FCA), Risk management, Data analytics, Capital Markets knowledge, Audit experience
Preferred skills
CISI or ICA qualifications, Master Degree
Technologies
AI, Automation, Data-driven testing tools
Responsibilities
Assessing adequacy and effectiveness of regulatory compliance controls; Designing and executing the Compliance Monitoring Plan; Carrying out 2LoD monitoring tasks; Escalating concerns and providing mitigation recommendations; Producing high-quality Management Information (MI); Championing compliance awareness culture.
Seniority
Manager, hands-on IC
