Compliance Monitoring Manager

Location Edinburgh
Discipline: Financial Services
Job type: Permanent
Contact name: Samantha Milligan

Contact email:
Contact phone: 0131 589 2268
Job ref: 133924
Published: 9 months ago
Expiry date: 07 Aug 2023 00:59

Group Compliance Monitoring Manager - Permanent - Edinburgh


We are supporting our investment management client with the search for a Group Compliance Monitoring Manager. This opportunity allows you the chance to work with a leading investment management firm who is at the forefront of the industry.


Reporting to the Head of Group Compliance Monitoring, this Group Compliance Monitoring Manager job will require you to support developing and delivering a market-leading compliance monitoring function. As well, you will be part of the compliance monitoring management team and will support the business in the management of global regulatory risk through the development and implementation of a robust and dynamic compliance monitoring programme.



  • Assisting with setting the future direction of the team in developing and implementing the global risk-based monitoring programme ensuring it remains relevant and effective

  • Working closely with the Head of Group Compliance Monitoring, the Chief Compliance Officers and wider compliance department to help develop and implement the global risk-based monitoring programme.

  • Engaging effectively with the wider business when performing risk-based surveillance monitoring and deep-dive thematic reviews in order to provide assurance on the firm's management of regulatory risk.

  • Reviewing the work performed by analysts within the team, and providing meaningful support and coaching.

  • Producing and presenting effective Management Information to senior managers and relevant Committees.

  • Remain up to date with new regulatory initiatives or concerns which may impact the existing framework, and ensure action is taken for the monitoring programme to continue to provide assurance on our compliance with global regulatory obligations.



  • Significant Compliance Monitoring experience within Asset Management Industry or alike

  • Ability to take ownership of issues and proactively solve problems

  • Strong communication and relationship management skills with the ability to work across all levels of the firm

  • Ability to take a truly global approach to compliance monitoring in order to ensure the programme covers our 14 global regulators.

  • Proactively review and seek to improve our existing processes and practices, contributing towards the ongoing development of a market leading programme.

  • Willing to work in Edinburgh 3 days per week.


To learn more about this opportunity please contact Samantha Milligan