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Compliance Monitoring Manager

  • Location

    City of London, London

  • Sector:

    Operations & Middle Office

  • Job type:


  • Salary:

    £60000 - £75000 per annum

  • Contact:

    Will Goodman

  • Contact email:

  • Job ref:


  • Published:

    5 months ago

  • Startdate:


My Client is a privately owned commercial insurance broker are looking for a Compliance Monitoring Manager to join the rapidly expanding team based in the heart of the city. The role is based on a hybrid working pattern between our London office or Home working

The Role:

Salary: 60-75K

Based in Fenchurch Street

Overall Objectives

To ensure the best interests of our customers are met and regulatory requirements satisfied by:

  1. promoting a culture of continual improvement in the quality of the customer experience
  2. implementing and embedding appropriate Policies and Procedures to guide and inform the way we work and promote the right behaviours.
  3. working in partnership with the Business in monitoring and responding to relevant KPIs, new developments - internal or external
  4. providing pro-active support and constructive advice on compliance and related matters and be seen as a 'Trusted Advisor'

Main Duties include:

  1. Develop and maintain a risk-based Group Compliance Monitoring Plan
  2. Implement Monitoring Plan with support from Compliance staff
  3. Devise, conduct and document annual risk assessments of Financial Crime risk
  4. Devise and coordinate regular TCF / Conduct Risk gap analysis in line with Compliance Plans
  5. Provide assurance of the effectiveness of Systems and Controls across Group companies
  6. Assess and contribute to the management of Compliance and other Risks
  7. Support the oversight of due diligence remediation and integration activities (post-completion)
  8. Oversee 2nd line file review activities (direct report), ensuring risk-based focus and appropriate follow up

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