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- Tasks: Lead compliance monitoring and ensure the business meets regulatory standards.
- Company: Reputable financial services firm with a focus on compliance and customer outcomes.
- Benefits: Competitive salary, exposure to senior stakeholders, and impactful work.
- Other info: Collaborative culture with opportunities for professional growth and influence.
- Why this job: Shape compliance strategies and make a real difference in a dynamic environment.
- Qualifications: Experience in compliance within FCA-regulated firms and strong analytical skills.
The predicted salary is between 80000 - 100000 ÂŁ per year.
We’re partnering with a growing, highly regarded specialist financial services firm to hire a Compliance Manager focused on Monitoring. This is a high-visibility role, sitting at the heart of the compliance function, with real exposure to senior stakeholders and the opportunity to shape how compliance adds value across the business.
You’ll take ownership of delivering the Compliance Monitoring Plan, providing assurance that the business is operating in line with regulatory expectations while delivering strong customer outcomes. With ongoing focus from the Financial Conduct Authority around Consumer Duty and conduct risk, this role offers genuine breadth and impact—far beyond a “tick-box” monitoring position.
- Deliver risk-based compliance monitoring reviews across the business
- Assess the effectiveness of controls, policies, and procedures
- Provide clear, commercial reporting with actionable recommendations
- Support regulatory initiatives and evolving compliance requirements
- Contribute to FCA reporting and regulatory submissions
- Track regulatory developments and advise on business impact
Experience in a compliance role within an FCA-regulated firm is required, along with exposure to compliance monitoring or internal audit (preferred). Strong analytical and report writing capability is essential. This is a high-impact role with strong visibility across the business, offering broad exposure to conduct risk, monitoring, and regulatory change. There is an opportunity to influence senior stakeholders and business decisions in a collaborative, agile environment without heavy corporate bureaucracy.
Director, Regulatory & Quality Compliance in City of London employer: fs talent
Contact Detail:
fs talent Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Director, Regulatory & Quality Compliance in City of London
✨Tip Number 1
Network like a pro! Reach out to people in the industry, especially those already working in compliance roles. A friendly chat can lead to insider info about job openings and even referrals.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of FCA regulations and compliance monitoring. We recommend having specific examples ready that showcase your analytical skills and how you've added value in previous roles.
✨Tip Number 3
Don’t underestimate the power of follow-ups! After an interview, drop a quick thank-you email to express your appreciation and reiterate your interest in the role. It keeps you fresh in their minds.
✨Tip Number 4
Apply through our website! We’ve got loads of opportunities that might just be the perfect fit for you. Plus, it’s a great way to show your enthusiasm for joining our team.
We think you need these skills to ace Director, Regulatory & Quality Compliance in City of London
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Compliance Manager role. Highlight your experience in compliance monitoring and any relevant achievements that align with the job description. We want to see how you can add value to our team!
Showcase Your Analytical Skills: Since this role requires strong analytical capabilities, don’t shy away from showcasing your report writing skills. Include examples of how you've assessed controls or provided actionable recommendations in previous roles. We love a good story!
Be Clear and Concise: When writing your application, keep it clear and concise. Use bullet points where possible to make it easy for us to read. We appreciate straightforward communication, especially when it comes to compliance matters!
Apply Through Our Website: We encourage you to apply through our website for the best chance of getting noticed. It’s the easiest way for us to track your application and ensure it reaches the right people. Don’t miss out on this opportunity!
How to prepare for a job interview at fs talent
✨Know Your Compliance Stuff
Make sure you brush up on the latest FCA regulations and compliance monitoring practices. Being able to discuss recent changes and how they impact the business will show that you're not just knowledgeable but also proactive in your approach.
✨Showcase Your Analytical Skills
Prepare examples of how you've used your analytical skills in previous roles, especially in assessing controls and policies. Be ready to discuss specific situations where your insights led to actionable recommendations or improvements.
✨Engage with Stakeholders
Since this role involves influencing senior stakeholders, think about how you can demonstrate your experience in engaging with them. Prepare anecdotes that highlight your ability to communicate complex compliance issues clearly and effectively.
✨Be Ready for Scenario Questions
Expect scenario-based questions that test your problem-solving skills in compliance situations. Practice articulating your thought process and decision-making steps, as this will help you convey your strategic thinking and adaptability.