Compliance Manager (Monitoring)

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Our client is seeking a Compliance Manager to join their team. 

Job Purpose:

To assist the Compliance Officer of regulated client structures in the provision of compliance support.

Summary of Responsibilities:

  • Oversight of the Compliance Monitoring function and its regulated clients, including the identification and delivery of training to any junior members of the team and ongoing analysis of duties undertaken
  • Analysis of regulated client Business Risks and the creation of a risk based schedule of CMP test plan execution for Board approval
  • Execute CMP test plans and document CMP test results, actions and escalations
  • In conjunction with the Compliance Officer(s), produce compliance monitoring reports including MI and statistical analysis of failures and issues to identify causes and remedial actions
  • Acting as a Compliance Monitoring representative at Board and relevant committee meetings as and when required
  • Supervision of any ad hoc tasks and projects being undertaken
  • Provide CMP improvement and scope suggestions to the Compliance Officers and Board
  • Undertake “deep dive” and ad-hoc thematic monitoring

Skills, knowledge & Attributes:

  • Compliance experience, ideally working in a Funds environment
  • Professional Compliance Qualification at Diploma level preferable, but not necessary subject to relevant experience
  • To have an attitude that inspires respect and to be capable of taking the lead
  • A high level of tact, diplomacy and confidentiality is essential due to the nature of the work
  • Ability to be proactive with very close attention to detail to ensure work is of a consistently high standard

For more information, please contact Jamie on 707812 or email your CV to

Job Posted: 
Thu, 22 Feb 2024
Closing Date: 
Thu, 22 Feb 2024

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