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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 60000 - 80000 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 Affairs & Quality in London employer: fs talent
Contact Detail:
fs talent Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Director, Regulatory Affairs & Quality in London
✨Tip Number 1
Network like a pro! Reach out to folks in the compliance and regulatory space, especially those who work at FCA-regulated firms. A friendly chat can open doors and give you insights that job descriptions just can't.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of the latest FCA regulations and consumer duty expectations. We want you to be the go-to person for compliance discussions, so show off your expertise!
✨Tip Number 3
When you get an interview, think about how you can demonstrate your analytical skills. Bring examples of past compliance monitoring reviews you've conducted and how they led to actionable recommendations. We love a good success story!
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets the attention it deserves. Plus, we’re always looking for passionate candidates who want to make a real impact in compliance.
We think you need these skills to ace Director, Regulatory Affairs & Quality in London
Some tips for your application 🫡
Tailor Your CV: Make sure your CV speaks directly to the role of Compliance Manager. Highlight your experience in compliance monitoring and any relevant FCA regulations you've worked with. We want to see how your skills align with what we're looking for!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're passionate about compliance and how you can add value to our team. Be sure to mention specific examples from your past roles that demonstrate your analytical and reporting skills.
Showcase Your Impact: In both your CV and cover letter, focus on the impact you've had in previous roles. Whether it's improving compliance processes or influencing senior stakeholders, we love to see how you've made a difference in your past positions.
Apply Through Our Website: We encourage you to apply through our website for a smoother application process. It helps us keep track of your application and ensures you don’t miss out on any important updates from us!
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 familiar with the role, but also genuinely interested in the field.
✨Showcase Your Analytical Skills
Prepare examples of how you've used your analytical skills in previous roles. Whether it’s assessing controls or writing reports, having specific instances ready will help demonstrate your capability to deliver actionable recommendations.
✨Engage with Stakeholders
Since this role involves influencing senior stakeholders, think about how you can showcase your communication skills. Prepare to discuss how you've successfully collaborated with others in the past and how you can add value to their decision-making processes.
✨Be Ready for Scenario Questions
Expect questions that put you in hypothetical situations related to compliance monitoring and conduct risk. Practise articulating your thought process and decision-making strategies, as this will highlight your problem-solving abilities and readiness for the role.