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Senior Compliance Monitoring Manager

£60000 - £70000

I am currently working with one of my valued Retail Financial Services clients based in Yorkshire on their search for an experienced Compliance Monitoring professional to join the business on a permanent basis. Ideal candidates will have significant experience overseeing complex monitoring functions, and a strong understanding of all relevant sections of the FCA Handbook including the key aspects of BCOBS, COBS, ICOBS, MCOB including sales process, and the key elements of SYSC/FIT/APER.

  • Development and delivery of a sound compliance monitoring that focuses on, but not limited to, the FCA’s Handbook and measurement of fair outcomes for our customers
  • The delivery of the Compliance Monitoring plan for your assigned clients.
  • Inspire and engage through role modelling the values and behaviours within your team across clients.
  • The identification of best practice standards for compliance with regulatory requirements.
  • Develop and communicate the Compliance Monitoring Plan for your assigned clients.
  • Contribute to the development and maintenance of working relationships with key contacts in Society, Audit and Compliance contacts within the subsidiary firms regulated by FCA
  • Reporting to management on levels of compliance through specific monitoring activity, or through regular reporting to management committees (e.g. the Board Audit Committee, Exco, Main Board)

Please get in touch With Richard Miller to discuss further.

This job has now been filled but you may be interested in:


Privacy Specialist

I'm currently working with a household name that operate all over the world in multiple sectors. The firm have recruited a professional to head up their UK privacy programme and also looking for a Privacy Specialist to make things happen alongside their global data privacy team.

Location: Maidenhead OR Leeds
Salary: £45-55k dependent on experience

Day to day of this role

  • Work with teams across the business to ensure that data protection risks are identified and all personal information processing activities comply with the GDPR and national regulations.
  • Liaise with business units to build an understanding of privacy risks related to their data processing and advise on how to mitigate risks.
  • Embed Privacy by Design into business processes.
  • Work with the team to carry out training and awareness, review policies and procedures, complete testing and monitoring to ensure compliance with the firm's privacy framework.
  • Insert privacy language into contracts with third party providers.
  • Provide assessments and documentation of privacy risks with proposed plans to mitigate the risks.
  • Manage the response to privacy incidents.
  • Process and complete SARs and DPIA.
  • Liase with the regulator and notify any data breaches through the set up breach processes.

Your experience

  • Strong experience in a previous privacy, legal or compliance function working to the GDPR.
  • Capability to work autonomously and provide privacy advice to a complex organisation.
  • Experience working in a matrix environment within a large organisation.
  • Ability to engage with a wide range stakeholders, across work streams at all levels of seniority.

If you would like to know more about the role, please apply with your updated CV and we can arrange a call to see whether this is the right opportunity for you.



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