Compliance Monitoring Manager

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 ResponsibilitiesIdentify, analyse and interpret management information (MI) to support ongoing compliance monitoringDevelop and maintain the annual Compliance Monitoring Plan, including scope, methodology and testing frequencyDeliver monitoring reviews in line with the agreed plan, including both deep-dive and thematic assessmentsDesign and document appropriate testing methodologies for compliance reviewsDraft terms of reference for monitoring activities and agree scope with key stakeholdersProduce clear, engaging and insightful reports for senior management and Board committeesContribute to the broader Compliance Plan and second line control frameworkConduct client file reviews to ensure adherence to internal standards and regulatory requirementsWork with stakeholders to agree practical and effective remediation actionsSupport wider compliance initiatives and ad hoc projects as required

Essential:Proven experience within a Compliance Monitoring roleStrong knowledge of the FCA Handbook, particularly COBS, ICOBS, SYSC and Financial Crime requirementsExperience in investment-related complianceAbility to engage effectively with a wide range of stakeholders and influence outcomesExperience using a variety of monitoring techniques (e.g. desk-based reviews, interviews, shadowing)Strong analytical, attention to detail and report writing skillsGood working knowledge of Microsoft Office toolsUnderstanding of the commercial impact of regulatory requirements
Desirable:Knowledge of pensions, including SIPP and/or SSAS arrangementsRelevant professional qualifications (e.g. PMI, CII, CISI, ICA)