Description:
Compliance Manager
Monitoring & Assurance - Ideal for a Senior Analyst ready to step into a Junior Manager role
We’re looking for a proactive Compliance professional who wants to design, shape, and build—not simply follow existing processes. This role is perfect for a strong Senior Analyst or Junior Manager who enjoys creating risk‑based monitoring activity, aligning work to the FCA Handbook, and delivering clear, accurate reporting that genuinely adds value.
The role can be based either Edinburgh or Glasgow.
What you’ll be doing
- Responsible for owning, enhancing and delivering the Compliance Monitoring Programme (CMP) ensuring it aligns to the FCA Handbook and reflects the firm’s risk profile.
- The role ensures monitoring activity is risk‑based, well‑designed, clearly documented and effectively followed through to closure.
- Planning and delivering risk‑based monitoring reviews, from scoping through to fieldwork, reporting, and follow‑up.
- Producing clear, accurate, and objective reports that highlight findings, root causes, and practical recommendations.
- Prepare papers and provide assurance input to the risk committed and other governance forums.
- Getting to know the business in depth, identifying hotspots, emerging risks, and areas where assurance can strengthen controls.
- Supporting (but not leading) regulatory reporting, ensuring accuracy and timely submissions.
- Stepping into wider compliance tasks where needed, contributing to a small, collaborative team.
What we’re looking for
- Experience in compliance monitoring, assurance, or oversight within financial services.
- Strong understanding of the FCA Handbook and how to apply it in a practical, proportionate way.
- Someone who enjoys designing and conducting compliance monitoring or assurance reviews
- Experience of interpreting regulations and gap analysis.
- CISI or equivalent compliance qualifications.
- Experience in operational resilience, cyber risk or CASS Oversight.
- Experience in AML / Financial Crime Oversight or testing.
- A proactive, curious mindset with the confidence to challenge constructively.
- Ability to work independently, manage competing priorities, and deliver high‑quality work on time.