Group Compliance Monitoring Manager

ZipRecruiter; London; Hybrid; GBP 60,000 - 90,000; Full time

Job summary

A leading trading platform is seeking a Group Compliance Monitoring Manager to enhance their compliance framework while managing a team of professionals. This permanent hybrid role requires extensive experience in compliance within regulated financial services, focusing on regulatory adherence and risk assessment.

Qualifications

• Minimum 5+ years in compliance monitoring or audit within financial services.
• Proven team management experience.
• Strong understanding of regulatory frameworks.

Responsibilities

• Design and oversee compliance monitoring programme.
• Conduct risk-based compliance reviews.
• Manage and mentor compliance monitoring professionals.

Skills

Communication

Analytical mindset

Stakeholder collaboration

Job description

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 ).
• 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.

For further information please contact Hannah Tabatabai