Compliance Monitoring Manager

Robert Walters
Wolverhampton, UK
04 Sep 2019
29 Sep 2019
Contract Type
Full Time
An excellent opportunity is available with a growing financial services business based in the West Midlands for a Compliance Monitoring Manager. Reporting to the Senior Compliance Manager (Monitoring), you will deliver a high-quality Compliance Monitoring Programme; providing advice and guidance to the business in relation to new and existing regulation.

You will ensure that you understand, maintain an awareness of and comply with regulatory requirements, risk management policies and behave in a competent and ethical manner in line with workplace culture, values and 'Treating Customers Fairly' principles. This role particularly focuses on monitoring and reporting on the businesses compliance, with financial regulation and legislation through monthly monitoring and business reviews.

Key Responsibilities:
  • Experience of monitoring processes for the sale of residential mortgages and/or savings accounts;
  • Good IT skills in use of Microsoft Word/Excel
  • Up to date knowledge of relevant FCA requirements and Regulatory Framework
  • Ability to review, interpret and analyse MI
  • Ability to prioritise tasks and manage time effectively
  • Experience of working in a financial services or risk based environment;
  • Mental agility to analyse, organise and problem solve new challenges.
  • Advise and guide other staff on compliance matters to support the business

The Compliance Monitoring manager will possess excellent knowledge of regulatory and legislative requirements associated with originating and servicing mortgages and savings. You will have experience of embedding the Principle of Treating Customers Fairly into operational areas of the business and experience of working in a financial services or risk based environment.

This is an excellent opportunity with a growing financial services business. Please apply now or for further information contact Kayte Short at

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