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- Tasks: Lead compliance monitoring and ensure alignment with FCA regulations for effective oversight.
- Company: Join a dynamic team focused on compliance excellence in a regulated environment.
- Benefits: Competitive salary, professional development, and opportunities to influence compliance culture.
- Other info: Collaborative environment with opportunities for career growth and skill development.
- Why this job: Make a real impact on compliance standards and drive positive consumer outcomes.
- Qualifications: Experience in compliance monitoring and strong knowledge of FCA regulations required.
The predicted salary is between 50000 - 60000 £ per year.
We are looking for a SIPP Compliance Monitoring Manager to play a key role in supporting and delivering an effective compliance oversight framework across FCA-regulated entities. Reporting to the Head of Compliance, you will be responsible for the development, ownership and delivery of a risk-based Compliance Monitoring Plan. This includes identifying key regulatory risks, conducting targeted reviews, and producing clear, insightful reporting for senior management and Board-level audiences. The role is focused on ensuring that business processes, activities and controls remain aligned with all applicable FCA rules, guidance and principles. Through a combination of deep-dive reviews, thematic work and routine monitoring, you will help drive good consumer outcomes and a strong culture of compliance. As part of a small, high-performing second line Compliance team, you will also support the development of colleagues, helping to build capability and ensure monitoring activity is delivered to a consistently high standard in line with FCA expectations.
Key Responsibilities
- Identify, analyse and interpret management information (MI) to support ongoing compliance monitoring
- Develop and maintain the annual Compliance Monitoring Plan, including scope, methodology and testing frequency
- Deliver monitoring reviews in line with the agreed plan, including both deep-dive and thematic assessments
- Design and document appropriate testing methodologies for compliance reviews
- Draft terms of reference for monitoring activities and agree scope with key stakeholders
- Produce clear, engaging and insightful reports for senior management and Board committees
- Contribute to the broader Compliance Plan and second line control framework
- Conduct client file reviews to ensure adherence to internal standards and regulatory requirements
- Work with stakeholders to agree practical and effective remediation actions
- Support wider compliance initiatives and ad-hoc projects as required
Essential
- Proven experience within a Compliance Monitoring role
- Strong knowledge of the FCA Handbook, particularly COBS, ICOBS, SYSC and Financial Crime requirements
- Experience in investment-related compliance
- Ability to engage effectively with a wide range of stakeholders and influence outcomes
- Experience using a variety of monitoring techniques (e.g. desk-based reviews, interviews, shadowing)
- Strong analytical, attention to detail and report-writing skills
- Good working knowledge of Microsoft Office tools
- Understanding of the commercial impact of regulatory requirements
Desirable
- Knowledge of pensions, including SIPP and/or SSAS arrangements
- Relevant professional qualifications (e.g. PMI, CII, CISI, ICA)
Compliance Monitoring Manager in Cheadle employer: The FCA
Contact Detail:
The FCA Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Monitoring Manager in Cheadle
✨Tip Number 1
Network like a pro! Reach out to your connections in the compliance field and let them know you're on the lookout for opportunities. You never know who might have the inside scoop on a role that’s perfect for you.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of the FCA Handbook. Make sure you can discuss how your experience aligns with the key responsibilities of the Compliance Monitoring Manager role. Confidence is key!
✨Tip Number 3
Showcase your analytical skills during interviews. Be ready to share examples of how you've identified regulatory risks or improved compliance processes in previous roles. Real-life stories make a lasting impression!
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we love seeing candidates who are proactive about their job search.
We think you need these skills to ace Compliance Monitoring Manager in Cheadle
Some tips for your application 🫡
Tailor Your Application: Make sure to customise your CV and cover letter to highlight your experience in compliance monitoring. Use keywords from the job description to show that you understand what we're looking for.
Showcase Your Skills: Don’t just list your skills; give examples of how you've used them in previous roles. Whether it's conducting reviews or producing reports, we want to see how you’ve made an impact.
Be Clear and Concise: When writing your application, keep it straightforward. We appreciate clarity, so make sure your points are easy to read and get straight to the point without unnecessary fluff.
Apply Through Our Website: We encourage you to apply directly through our website. It’s the best way to ensure your application gets to us quickly and efficiently, plus you’ll find all the info you need about the role there!
How to prepare for a job interview at The FCA
✨Know Your FCA Handbook
Make sure you brush up on the FCA Handbook, especially sections like COBS and SYSC. Being able to discuss specific regulations and how they apply to compliance monitoring will show that you're not just familiar with the rules but can also interpret them effectively.
✨Prepare Insightful Reporting Examples
Have a couple of examples ready where you've produced clear and engaging reports for senior management. This will demonstrate your ability to communicate complex compliance issues in a way that's easy to understand, which is crucial for this role.
✨Showcase Your Analytical Skills
Be prepared to discuss how you've used data analysis in previous roles to identify regulatory risks. Highlight any specific tools or methodologies you've employed, as this will illustrate your analytical prowess and attention to detail.
✨Engage with Stakeholders
Think of examples where you've successfully engaged with various stakeholders to influence outcomes. This could be through collaboration on compliance initiatives or remediation actions. Showing that you can build relationships and drive compliance culture will set you apart.