Senior Compliance Monitoring Manager

Broadgate; Leeds; On-site; GBP 50,000 - 70,000; Full time

Job summary

Broadgate in the United Kingdom is hiring to design and implement a robust Compliance Monitoring Framework, ensuring adherence to regulatory obligations and strengthening financial crime controls across the business. The role will lead thematic reviews, develop an annual risk-based monitoring plan, review controls, and coach the business on improvements.

You will perform horizon scanning for upcoming regulatory changes and drive regulatory change initiatives with the risk and compliance team.

Qualifications

• Strong knowledge of UK financial services regulation and controls.
• Proven experience in compliance monitoring within financial services or a regulated environment.
• Excellent communication and stakeholder management skills.
• Experience in leading teams and managing people.
• Experience designing compliance frameworks from scratch.

Responsibilities

• Design and implement a comprehensive compliance monitoring framework.
• Lead thematic reviews across the business.
• Develop and maintain an annual risk-based compliance monitoring plan.
• Review controls and coach the business on improving compliance monitoring.
• Conduct regulatory horizon scanning and lead regulatory change initiatives with the risk and compliance team.

Skills

Regulatory knowledge

Stakeholder management

Leadership

Compliance monitoring

Framework design

Job description

A key hire to help design and implement a robust Compliance Monitoring Framework. This role is pivotal to ensure our client adheres to regulatory obligations, internal policies, strengthening financial crime controls.

Some Key Responsibilities

• Design and implement a comprehensive compliance monitoring framework
• Leading thematic reviews across the business
• Developing and maintaining an annual risk-based compliance monitoring plan.
• Reviewing controls and coaching the business on improving compliance monitoring.
• Regulatory horizon scanning for upcoming regulatory changes and leading with the support of the wider risk and compliance team on regulatory change initiatives.

Experience

• Strong knowledge of UK financial services, preferably from a Wealth & Investment Management background.
• Proven experience in compliance monitoring within financial services or a regulated environment.
• Strong communication and stakeholder management skills.
• Experience in leading teams and managing people effectively
• Experience in designing compliance frameworks from scratch.