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 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)

Please quote 52335 when calling Aaron at Alexander Lloyd or email them at apu@alexanderlloyd.co.uk. This is only one of many vacancies we are handling, Alexander Lloyd is a specialist within Financial Services recruitment. Areas of expertise include Employee Benefits, Compliance, Pensions, Group Risk, Paraplanners, Sales Support, T&C etc.

Due to the high amount of interest that we receive for each of our roles unfortunately we cannot respond to each application individually, therefore if you do not hear back from one of our consultants you have not been shortlisted for this role. Please continue to check our website www.alexanderlloyd.co.uk for any other roles which may be of interest.