277 Compliance Monitoring jobs in the United Kingdom

Are you a Compliance professional , with experience working within a compliance and/or risk department of a FCA regulated company?

Our financial services client is seeking an experienced compliance professional to join the team near Reading, on a hybrid basis. The compliance team sit within the second line of defence, responsible for monitoring, providing compliance support and advice to the business on a wide range of compliance matters including regulatory and conduct risks, to ensure ongoing compliance with the regulatory framework.

The role is inside IR35 and £400 per day via an umbrella company -hybrid working model -excellent working environment!

Main Responsibilities:

· Supporting the Compliance Manager in ensuring that our client meets its legal and regulatory obligations.

· Providing expert regulatory advice and guidance to the business on a range of compliance topics including Consumer Duty, credit broking requirements within the Consumer Credit Sourcebook (CONC), and Data Protection.

· Undertaking monitoring and testing activities in accordance with the annual compliance monitoring plan, to assess the effectiveness of regulatory and conduct risk control processes in place, the level of compliance with regulatory and internal standards, and transactional monitoring of key operational areas such as complaints and Data Subject Access Requests.

·Producing written reports of monitoring outcomes, review findings and action plans.

·Reviewing and supporting the business to log breaches and incidents, ensuring accurate records are maintained to evidence closure of remedial actions taken.

·Conducting root cause analysis on complaints, breaches, and incidents data to identify themes and emerging risks that inform continual improvement of policies, processes, and procedures and delivery of good customer outcomes.

·Assisting with the collation of risk and compliance Management Information (MI) for reporting to senior management, Committee(s) and/or Board meetings. Conducting annual thematic reviews of operational end-to-end processes and providing a final report to the relevant business area.

Candidate requirements:

• Detailed technical knowledge and FCA Handbooks including CONC, DISP, PRIN and SYSC, legislative frameworks such as AML and Data Protection, and understanding of industry best practice standards.
• Previous experience working within a compliance and/or risk department of a FCA regulated company
• Practical understanding and experience of the FCA’s expectations in relation to customer outcomes and treatment of vulnerable customers
• Ability to analyse and translate regulations into policies, processes, and procedures.
• Ability to draft documents/reports to a high standard

If this sounds like you, or someone you know then apply now!

Hybrid - 3 days office

Salary c.£65,000 - £75,000

An established and highly respected Wealth and Investment management firm is seeking a Compliance Monitoring Manager to lead its monitoring function and enhance the firm’s approach to regulatory assurance and oversight.

This is a key second-line role, responsible for delivering a risk-based compliance monitoring plan , conducting thematic reviews , and ensuring regulatory requirements and internal standards are met across the business.

The Role

• Develop and implement a risk-based monitoring plan aligned with the firm’s risk appetite and FCA expectations.
• Deliver second-line oversight and thematic reviews, ensuring timely completion of testing and follow-up actions.
• Produce clear, insightful reports for senior management and the board , highlighting key risks and recommendations.
• Collaborate with internal stakeholders across Risk, Compliance, and Operations to strengthen the control environment.
• Lead and develop a small team, promoting a proactive and positive compliance culture.

About You

• Minimum CISI or CII Level 4 qualification (ideally working towards Level 6).
• At least 5 years’ experience in compliance or assurance within financial services or another regulated environment.
• Strong stakeholder management, communication, and analytical skills.
• Proven experience delivering monitoring or thematic review activity in line with FCA standards.
• Team leadership or supervisory experience preferred.

The Opportunity

This is a fantastic opportunity to take ownership of the compliance monitoring function within a respected financial services firm, where you’ll have visibility across the business and genuine scope to influence and improve risk culture.

If you’re an experienced compliance professional seeking a leadership role within a collaborative and values-led organisation, we’d love to hear from you.

Hours per Week

37.5

Work Pattern

8.30am – 5.00pm (typical)

Seniority

Senior Manager

Hybrid Working

Available after 2 months (up to 2 days WFH per week)

We are looking for someone who knows how to get the best out of their team and has a strong compliance background.

In return, we offer you the opportunity to

• Work with an excellent team of dedicated colleagues.
• Make a significant contribution to the operations of the firm.
• Develop and progress your own skills and experience.

This is a role ideal for someone who loves to lead and develop their team, whilst maintaining the highest standards of integrity. We have a talented compliance team and committed support from board-level to build a top-class Compliance function, and we want you to come in and help us do that.

You would provide regular coaching and support to allow the team to be successful in its roles, as well as being an advocate for personal development. You will be a self-assured delegator and willing to share your knowledge and experience to ensure best practice is shared widely amongst the team.

Your key responsibilities would be:

• Overseeing and monitoring the firm's risk-based Monitoring Plan, ensuring we meet the requirements of the FCA.
• Ensuring work relating to specific monitoring issues, including suitability, branch procedures, and XO services is completed to an excellent standard and issues identified are tracked to closure.
• Supporting the monitoring of breaches and managing the resolution of potential and actual high-profile events.
• Acting as a point of reference and expert knowledge for colleagues within the business.
• Preparing and submit monthly reports and plans summarizing KRI data and the firm's risk framework.
• Oversight of the complaints handling process end-to-end.
• Oversight the annual assessment of the certification of individuals under the FCA's SMCR regime.
• Completing recruitment, onboarding, and performance management processes for your team.

Further specific details about the role can be found in the job description attached to this advert.

What we're looking for

• Formal compliance qualification
• Minimum of 5 years Compliance experience within the financial services or a similar regulated industry.
• Evidence of continuous professional development.

• Previous managerial or team supervision experience.

• Excellent knowledge of FCA regulations.

• Strong Leadership skills - able to train, motivate and evaluate colleagues successfully
• Ability to coach and support the development of colleagues.
• Ability to maintain and promote the highest standards of rigour and integrity.
• Excellent attention to detail.
• Strong communication skills with stakeholders at various levels of seniority.
• Able to lead by example and delegate tasks effectively.
• Proven ability to build and maintain a positive team culture
• Self-sufficient and self-motivated, with a proactive attitude.

What does the future look like?

Once you are settled into the role, you will be able to take on more responsibility within the team and develop your skills and experience further through CPD and other development opportunities.

Redmayne Bentley provides support for colleagues to achieve industry standard qualifications, if that is something they wish to do.

For someone who is keen to progress in this field, there will be developmental and coaching support provided for you to potentially progress into a more senior role in the future.

At Redmayne Bentley, our goal is to provide excellent personal investment services that enhance clients' wealth.

We are proud of the culture we have created and of our approach, which promotes open and effective communication, with lots of scope for collaborative working. You will often find managers and directors working at the desk alongside you.

We encourage everyone to get involved, so you will have lots of opportunities to put forward your own ideas, and build on your skills, knowledge, and experience.

As one of the UK's largest independent investment management and stockbroking firms, we are committed to building a modern and diverse workplace where our people are offered unique opportunities to learn, grow and develop across the financial sector.

Our friendly, inclusive and collaborative environment rewards hard work with generous perks and benefits, and we are genuinely committed to your wellbeing through our industry commended &You wellbeing framework.

Our future looks more exciting than ever, come and share it with us.

Hybrid - 3 days office

Salary c.£65,000 - £75,000

An established and highly respected Wealth and Investment management firm is seeking a Compliance Monitoring Manager to lead its monitoring function and enhance the firm’s approach to regulatory assurance and oversight.

This is a key second-line role, responsible for delivering a risk-based compliance monitoring plan , conducting thematic reviews , and ensuring regulatory requirements and internal standards are met across the business.

The Role

• Develop and implement a risk-based monitoring plan aligned with the firm’s risk appetite and FCA expectations.
• Deliver second-line oversight and thematic reviews, ensuring timely completion of testing and follow-up actions.
• Produce clear, insightful reports for senior management and the board , highlighting key risks and recommendations.
• Collaborate with internal stakeholders across Risk, Compliance, and Operations to strengthen the control environment.
• Lead and develop a small team, promoting a proactive and positive compliance culture.

About You

• Minimum CISI or CII Level 4 qualification (ideally working towards Level 6).
• At least 5 years’ experience in compliance or assurance within financial services or another regulated environment.
• Strong stakeholder management, communication, and analytical skills.
• Proven experience delivering monitoring or thematic review activity in line with FCA standards.
• Team leadership or supervisory experience preferred.

The Opportunity

This is a fantastic opportunity to take ownership of the compliance monitoring function within a respected financial services firm, where you’ll have visibility across the business and genuine scope to influence and improve risk culture.

If you’re an experienced compliance professional seeking a leadership role within a collaborative and values-led organisation, we’d love to hear from you.

⭐️ Senior Compliance Monitoring Manager

Hybrid based out of various locations

Competitive Salary

Our client leading national firm of Independent Financial Advisers, providing trusted financial planning and wealth management services to clients across the UK. As the business continues to grow, we are strengthening our compliance oversight function to ensure our governance and control frameworks remain robust and forward-looking.

As Senior Compliance Monitoring Manager, you’ll lead the firm’s compliance monitoring activity, ensuring that business practices remain aligned with FCA requirements and internal standards. You’ll play a key role in safeguarding the firm’s regulatory integrity while supporting a culture of good conduct and continuous improvement.

Role & Responsibilities:

• Lead the design and delivery of the annual compliance monitoring plan in line with the firm’s risk appetite and regulatory priorities.
• Produce high-quality reports and MI for senior management and governance committees, highlighting findings, trends, and areas for improvement.
• Work collaboratively with business leaders to develop practical and proportionate action plans.
• Stay up to date with regulatory developments, translating requirements into actionable monitoring and guidance.
• Contribute to the continuous enhancement of compliance frameworks, systems, and methodologies.

Do you have the following to apply?

• Strong background in compliance monitoring or audit within financial services, ideally in the wealth management or IFA sector.
• Excellent working knowledge of FCA rules (COBS, SYSC, and CONC).
• Proven ability to design and execute risk-based monitoring programmes.

Due to the high volume of applications received we are unable to respond to everyone directly. If you are not contacted within 7 working days, you have unfortunately not been shortlisted.

Clayton Davies is acting as an employment agency on behalf of our client.

Compliance Monitoring/ Reviews

6-Month FTC

£85k–£100k base salary pro rata

I’m working with a leading global financial institution seeking a Compliance professional to join their Compliance function on a 6-month Fixed-Term Contract, with potential for extension(s).

Key Responsibilities:

• Lead and deliver thematic reviews across multiple business lines, including product governance, best execution and MAR.
• Lead on Compliance Monitoring matters across their IB practice.
• Advise senior stakeholders on findings, risks, and remediation strategies.
• Collaborate across Risk, Compliance, and Audit to strengthen control frameworks.
• Prepare high-quality reports and briefings for senior management and committees.

What We’re Looking For:

• Strong background in compliance monitoring and thematic reviews within investment banking/ capital markets.
• Solid understanding of UK regulatory requirements (FCA, PRA, SMCR, etc.).
• Excellent stakeholder management and communication skills.

If you’re interested, please DM me or email for a confidential discussion.

Compliance Monitoring/ Reviews

6-Month FTC

£85k–£100k base salary pro rata

I’m working with a leading global financial institution seeking a Compliance professional to join their Compliance function on a 6-month Fixed-Term Contract, with potential for extension(s).

Key Responsibilities:

• Lead and deliver thematic reviews across multiple business lines, including product governance, best execution and MAR.
• Lead on Compliance Monitoring matters across their IB practice.
• Advise senior stakeholders on findings, risks, and remediation strategies.
• Collaborate across Risk, Compliance, and Audit to strengthen control frameworks.
• Prepare high-quality reports and briefings for senior management and committees.

What We’re Looking For:

• Strong background in compliance monitoring and thematic reviews within investment banking/ capital markets.
• Solid understanding of UK regulatory requirements (FCA, PRA, SMCR, etc.).
• Excellent stakeholder management and communication skills.

If you’re interested, please DM me or email for a confidential discussion.

Compliance Monitoring/ Reviews

6-Month FTC

£85k–£100k base salary pro rata

I’m working with a leading global financial institution seeking a Compliance professional to join their Compliance function on a 6-month Fixed-Term Contract, with potential for extension(s).

Key Responsibilities:

• Lead and deliver thematic reviews across multiple business lines, including product governance, best execution and MAR.
• Lead on Compliance Monitoring matters across their IB practice.
• Advise senior stakeholders on findings, risks, and remediation strategies.
• Collaborate across Risk, Compliance, and Audit to strengthen control frameworks.
• Prepare high-quality reports and briefings for senior management and committees.

What We’re Looking For:

• Strong background in compliance monitoring and thematic reviews within investment banking/ capital markets.
• Solid understanding of UK regulatory requirements (FCA, PRA, SMCR, etc.).
• Excellent stakeholder management and communication skills.

If you’re interested, please DM me or email for a confidential discussion.

Compliance Monitoring/ Reviews

6-Month FTC

£85k–£100k base salary pro rata

I’m working with a leading global financial institution seeking a Compliance professional to join their Compliance function on a 6-month Fixed-Term Contract, with potential for extension(s).

Key Responsibilities:

• Lead and deliver thematic reviews across multiple business lines, including product governance, best execution and MAR.
• Lead on Compliance Monitoring matters across their IB practice.
• Advise senior stakeholders on findings, risks, and remediation strategies.
• Collaborate across Risk, Compliance, and Audit to strengthen control frameworks.
• Prepare high-quality reports and briefings for senior management and committees.

What We’re Looking For:

• Strong background in compliance monitoring and thematic reviews within investment banking/ capital markets.
• Solid understanding of UK regulatory requirements (FCA, PRA, SMCR, etc.).
• Excellent stakeholder management and communication skills.

If you’re interested, please DM me or email for a confidential discussion.