Compliance Monitoring Principle

Wipro; Telford; On-site; GBP 90,000 - 120,000; Full time

Job summary

Servaada, a Wipro company, is seeking a Compliance Monitoring Principal Consultant to lead monitoring for retail investments and pensions. You will design monitoring plans, identify control gaps, and drive remediation with business partners, while reporting to senior management and client committees.

You will stay current on FCA/regulatory developments, build robust controls, and mentor UK and offshore teams to sustain a strong compliance culture across Servaada and Wipro.

Qualifications

• Experience in compliance monitoring for retail investments, and pensions if needed.
• Previous staff management including resource allocation and supervision.

Responsibilities

• Design annual monitoring plans aligned to regulatory expectations and client needs.
• Identify control gaps, determine root causes, and mitigate risks.
• Agree action plans with the business and track remediation to closure.
• Deliver reporting and MI to inform Management and Committees.
• Monitor regulatory developments and assess impact on the risk profile.
• Establish in-house controls and improve compliance processes.
• Maintain logs and risk ratings for the Compliance Monitoring Programme.
• Mentor and train UK and offshore team members.
• Promote a positive compliance culture within Servaada and Wipro.

Skills

Compliance monitoring experience

Staff management

Job description

Job Title: Compliance Monitoring Principle

City: Telford

State/Province: Shropshire

Posting Start Date: 10/9/26

Servaada is Wipro UK entity, authorised by the Financial Conduct Authority (FCA), the UK financial services regulator, to undertake regulated activities on behalf of its clients, as an outsourced service provider.

Job Description

Introduction

Servaada, a Wipro company is looking for a Compliance Monitoring Principal Consultant with previous experience of compliance monitoring for retail investments or pensions. This role is at the heart of the growth agenda for the organisation. The role will have a primary focus on leading the delivery of monitoring for one of our core clients, whilst also contributing to the wider development of our financial outsourcing services.

Responsibilities

• Contribute to the design of an annual monitoring plan to ensure all areas covered in frequency as to both regulatory expectations and client requirements
• Work proactively to identify control gaps and weaknesses, determine root cause, and escalation prop viable solutions to the risks and weaknesses identified, working to mitigate risk
• With the support of the Head of Compliance Monitoring, agree action plans with the business as a result of monitoring work and; follow up with the business to ensure identified risks are adequately mitigated and closed in line with agreed action plans and for evidencing and recording rationale for closure. Highlight any delivery concerns
• Make or assist with the delivery of relevant reporting and MI to inform Management of the compliance risks and their status. This includes supporting the Head of Compliance with information for reports to Servaada’s Risk and Compliance Committee, the Board and its clients as required
• Monitor regulatory developments and maintain an up-to-date knowledge of current issues and future trends and their likely impact on the company’s risk profile and activities
• Work with the Compliance Team in the establishment of adequate in-house controls and compliance procedures and contribute to compliance processes by identifying areas for improved adherence to regulatory requirements
• Ensure departmental logs and the Compliance Monitoring Programme are maintained and up to date and that they are appropriately risk rated in line with the process
• Work independently while establishing solid relationships with the business
• Champion a positive and effective compliance culture within Servaada and Wipro, helping the business to manage compliance risks effectively within their respective areas of responsibility
• Maintain an independent mind-set taking an impartial and objective view of internal practices, whilst maintaining good relationships that permit constructive and valued challenge
• The area of work involves a high degree of accuracy, integrity and independence as well as the ability to work well within a small team environment. We take pride in our customer centric culture of good order, and you will share our core values
• Support Head of Compliance Monitoring to manage, mentor and train UK team & offshore team

Mandatory Skills

• Previous experience of compliance monitoring (or external or internal audit if also covered regulatory requirements) of retail investments (and willing & able to quickly pick up pensions aspects if not covered before)
• Previous staff management experience including allocation of resources

Desirable Skills & Knowledge

• Expert regulatory knowledge and then how regulation applies across relevant business activities and oversight of such
• Ability to work without supervision and under pressure
• Efficient and well organised
• Strong communication skills both written and verbal
• Credible and assertive manner
• Discretion, tact and resilience
• Professional manner with the ability to influence and persuade
• They must be a skilled communicator and able to deal with a wide variety of internal stakeholders and financial regulator

Application of Individual Conduct Rules

Standard of conduct is reasonable under all circumstances relating to

• Must act with integrity
• Must act with due skill, care and diligence
• Must be open and cooperative with the FCA and other regulators
• Must pay due regard to the interests of customers and treat them fairly
• Must observe proper standards of market conduct

Servaada is committed to diversity, equality, and inclusion in the workplace. All applicants welcome.

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Wipro is committed to creating an accessible, supportive, and inclusive workplace. Reasonable accommodation will be provided to all applicants including persons with disabilities, throughout the recruitment and selection process. Accommodations must be communicated in advance of the application, where possible, and will be reviewed on an individual basis. Wipro provides equal opportunities to all and values diversity.