This job is no longer available.
You can view related vacancies or set-up an email alert notification when similar jobs are added to the website using the buttons below.

Compliance Monitoring Manager - Level 4 essential


Compliance Monitoring Manager - Level 4 essential


An attractive opportunity for an ambitious individual to join an award winning financial advice business who is currently seeking a Level 4 Qualified Compliance Monitoring Manager to join their team in London.

You will design and deliver a risk based Compliance Audit programme, including undertaking file reviews and managing thematic reviews.
- Design and deliver a risk-based annual Monitoring Audit programme
- Identify key underlying issues and root causes and propose appropriate risk mitigation actions
- Provide reports to the Board and proposals for remediation
- Provide pro-active guidance and response to identified trends arising from file reviews
- Conduct past business reviews where required.
Initially, this is a highly strategic and senior role that will also require an element of conducting the hands on file reviews. However, there is a possibility that the file review element of this role may be outsourced in the future. The role will involve time spent in the Surrey and London office, but either can be your permanent base, although the rest of the team are based in Surrey which includes the Compliance administrator/assistant. There is also excellent progression opportunities on the table for the right candidate, with Head of Compliance/CF10 being a real option in the future for someone who excels in this position.

To be considered for this role it is essential that you hold Level 4 or higher Diploma in Financial Planning and have experience of designing and delivering audit reviews. You must have a pragmatic approach to compliance and be able to give straight, honest and clear feedback to senior management.

You will work within a small team in a broad role which can be hands on as well as highly strategic and involved reporting regularly to the Board and operating at a senior level. There is also an excellent benefits package on offer.

Please quote 13090 when calling Alexander Lloyd on 01293 572900 and ask for our Compliance division. This is only one of many vacancies we are handling. Alexander Lloyd is a specialist within Financial Services recruitment. Areas of expertise include Compliance Directors, CF10/11, Risk Frameworks, Monitoring, Advisory, Policy, T&C, Quality Assurance/ File Review, AML/KYC etc across the entire financial services sector including investments, banking and insurance. We predominately focus on London, Surrey, Sussex and Kent, although we have also been highly successfully in offering national solutions. 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 for any other roles which may be of interest.

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


Compliance Manager

£40000 - £650000 per annum depending on experience
A financial planning company with offices across the UK is seeking an experienced IFA Compliance generalist to join their team as a Compliance Manager (no management responsibilities). You will work with another Compliance Manager, reporting into the Head of Compliance, on a broad range of compliance duties including monitoring... More

Compliance & Risk Analyst

£40000.00 - £50000.00 per annum bonus and benefits
An exciting start-up bank in London is looking for an experienced Compliance or Risk Analyst to join their growing team of 5, reporting to the Chief Compliance and Risk Officer. This role covers a broad range of responsibilities, but experience gained within Compliance OR Risk within a banking environment will be considered. However... More

Business Quality Manager / File Review (Office based)

£35000.00 - £40000.00 per annum
A Financial Planning firm is looking for an experienced Business Quality Manager / File Reviewer to join their busy London team, reporting to the Director of Business Standards... More