Compliance Monitoring Manager

Hinduja Tech Limited

. Own the design, maintenance and delivery of the Compliance Monitoring Plan (CMP), including risk-based prioritisation of reviews .

Posted 9/15/2026full-timeLondon • United KingdomMid-LevelSeniorWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in designing and executing Compliance Monitoring Plans, with a strong focus on risk-based prioritization and remediation tracking. Proficient in preparing board-level documentation and engaging with regulatory bodies, ensuring compliance with FCA rules and financial crime frameworks.

Highest-signal resume keywords

Compliance Monitoring Plan DesignFCA Regulatory KnowledgeThematic Assurance WorkMonitoring Report PreparationFinancial Crime Control Monitoring

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Compliance MonitoringRisk-Based PrioritizationRemediation TrackingTesting MethodologiesControl Gap IdentificationThematic ReviewsSample-Based AssuranceMonitoring Findings AnalysisRegulatory Change ManagementInternal Audit

Soft Skills

Excellent Written CommunicationStakeholder EngagementIndependent WorkAbility to Work at PaceCollaboration

Tools & Technologies

Compliance SoftwareGovernance FrameworksThird-Party Oversight Tools

Certifications & Qualifications

ICACISI

Industry Keywords

FCA-Regulated Investment FirmMiFID IISM&CRCASSConsumer DutyFinancial Crime FrameworksAMLKYBDDQMPS Provider

About the role

Key responsibilities & impact

Own the design, maintenance and delivery of the Compliance Monitoring Plan (CMP), including risk-based prioritisation of reviews
Plan and execute monitoring reviews, testing and sample-based assurance work across the business
Engage with business stakeholders as part of these activities
Ensure cross-linkage with other second line activities, eg risk assessments, risk registers, regulatory change, incident investigation etc
Conduct compliance surveillance and thematic reviews to identify issues, control gaps and instances of non-compliance
Monitor financial crime controls as part of the monitoring programme
Track and follow up remediation actions arising from monitoring findings through to completion
Prepare compliance monitoring papers and reports for the Risk and Compliance Committee and Board, covering findings, themes and remediation progress
Coordinate reviews and sign-off of monitoring outcomes with relevant governance forums, including the Risk and Compliance Committee
Schedule and coordinate third-party thematic reviews and assurance work
Report directly to the Chief Risk and Compliance Officer

Requirements

What you’ll need

6+ years' experience in compliance monitoring roles within an FCA-regulated investment firm
Demonstrable experience designing or operating a Compliance Monitoring Plan, including risk-based prioritisation and remediation tracking
Proven experience conducting compliance monitoring reviews, testing and thematic assurance work, with the ability to identify, evidence and escalate control gaps
Experience preparing monitoring reports and papers for committee and Board audiences, translating findings into clear themes and recommendations
Strong working knowledge of FCA rules including COBS, SYSC, PRIN, and Consumer Duty (PRIN 2A)
Familiarity with MiFID II, SM&CR, CASS, and financial crime frameworks (AML/KYB/DDQ)
Experience engaging with the FCA
Excellent written communication skills, with the ability to prepare board-level documentation
Proven ability to work independently and at pace within a structured programme environment
Background in internal audit, quality assurance or 2nd/3rd line testing methodologies
Experience in an MPS provider and/or investment platform business
Familiarity with platform governance
Familiarity with third-party oversight frameworks
Experience using compliance software / tools
Professional qualifications (e.g., ICA, CISI) desirable but not essential

Benefits

Comp & perks

Non-contributory pension scheme
28 days holiday plus bank holidays
Non-contractual bonus scheme
Potential to join company option scheme
Insurance plans
Cost of relevant professional qualifications and memberships
Hybrid working
Flexible hours (depending on team requirements)
Wellbeing support