Group Compliance Monitoring Manager

Compliance Professionals; City Of London; Hybrid; GBP 60,000 - 80,000; Full time

Job summary

A leading trading platform in the City of London is seeking a Group Compliance Monitoring Manager. This hybrid role involves designing and overseeing compliance monitoring programmes, conducting reviews, and managing a compliance team. The ideal candidate will have over 5 years of experience in compliance within a regulated environment, strong analytical skills, and excellent communication abilities. The position offers competitive benefits and a supportive work environment.

Qualifications

• 5+ years in compliance monitoring, assurance, or audit within a regulated financial services firm.
• Excellent communication skills and experience presenting to management.
• Proven ability to manage and develop teams.

Responsibilities

• Design and oversee the compliance monitoring and assurance programme.
• Conduct compliance monitoring reviews and recommend actions.
• Prepare compliance reports for senior management.

Skills

Compliance monitoring

Team management

Presentation skills

Analytical skills

Understanding regulatory frameworks

Job description

THE COMPANY: Our client is a leading trading platform that is ambitiously expanding their Business. They are looking to hire a Group Compliance Monitoring Manager on a permanent basis. This will be a hybrid working role, with 3 days in the office per week.

THE RESPONSIBILITIES:

• Design, implement, and oversee the firm’s global compliance monitoring and assurance programme to ensure adherence to regulatory obligations.
• Conduct risk-based compliance monitoring reviews, identifying areas of non-compliance and recommending remedial actions.
• Develop and maintain a compliance monitoring plan and risk assessment that aligns with regulatory expectations and the firm’s risk appetite.
• Prepare and present detailed compliance reports to senior management, identifying key findings and trends.
• Manage, mentor, and develop a team of five compliance monitoring professionals, providing guidance and support.
• Monitor regulatory developments and assess their impact on the firm’s compliance framework.
• Collaborate with key stakeholders, including Local Compliance, Marketing, Risk, and Internal Audit, to enhance the firm’s compliance culture.
• Ensure effective record-keeping and documentation of monitoring activities, findings, and remedial actions.
• Work closely with regulators and auditors during audits, inspections, and regulatory inquiries.

EXPERIENCE REQUIRED:

• Minimum of 5+ years in compliance monitoring, assurance, or audit within a regulated financial services firm (CFD/spread betting experience preferred).
• Excellent written and verbal communication skills, with experience presenting findings to senior management and relevant stakeholders.
• Proven experience managing and developing a team.
• Strong understanding of global regulatory frameworks.
• Ability to identify compliance risks and propose effective solutions.
• Strong analytical mindset with the ability to interpret regulations and policies.
• Ability to work collaboratively across multiple departments and jurisdictions.