Senior Compliance Monitoring Manager

£45000 - £50000 per annum
25 Jan 2013
22 Feb 2013
Ryan Graham
Contract Type
Full Time

Senior Compliance Monitoring Manager

An opportunity has arisen for a Senior Compliance Monitoring Manager at a leading brokerage in the City ofLondon. Reporting to the Head of Compliance, you will be using your knowledge of financial products, services and trading exchanges along with FSA rules and regulations to deliver a Compliance Monitoring Programme across theUKandEurope.


  • Investigate regulatory concerns and track issues with policies and procedures as part of monitoring reviews, including adherence to the policies, as part of the desk reviews.
  • Develop the firm's compliance monitoring programme and provide input into the drafting of relevant Compliance policies and procedures.
  • Produce risk assessments and support the MLRO with investigations.
  • Identify training requirements as part of monitoring reviews and escalate these to the Advisory Partners.
  • Monitor the accuracy and appropriateness of training materials and attendance records as per the Compliance Monitoring Programme.


  • Minimum of 8 years experience within a Compliance role with experience in compliance monitoring.
  • Knowledge of a wide range of financial product and services and trading exchanges.
  • Appropriate professional/industry qualifications.
  • Experience of working with Senior Management is required.
  • Experience of a trading environment is preferable.
  • The ability to perform risk based analysis of MI and to identify risks and remediation actions.

This is an exciting opportunity for compliance professional to advance their career in a fast paced and growing business. You will receive a market leading package and work amongst an experienced well established team with space to learn and grow.

Applications are open now so apply online or call Ryan Graham on 0207 398 3600 for more details.

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