We are looking for a SIPP Compliance Monitoring Manager to play a key role in supporting and delivering an effective compliance oversight framework across FCA-regulated entities.
Reporting to the Head of Compliance, you will be responsible for the development, ownership and delivery of a risk-based Compliance Monitoring Plan. This includes identifying key regulatory risks, conducting targeted reviews, and producing clear, insightful reporting for senior management and Board-level audiences.
The role is focused on ensuring that business processes, activities and controls remain aligned with all applicable FCA rules, guidance and principles. Through a combination of deep-dive reviews, thematic work and routine monitoring, you will help drive good consumer outcomes and a strong culture of compliance.
As part of a small, high-performing second line Compliance team, you will also support the development of colleagues, helping to build capability and ensure monitoring activity is delivered to a consistently high standard in line with FCA expectations.
Key Responsibilities
* Identify, analyse and interpret management information (MI) to support ongoing compliance monitoring
* Develop and maintain the annual Compliance Monitoring Plan, including scope, methodology and testing frequency
* Deliver monitoring reviews in line with the agreed plan, including both deep-dive and thematic assessments
* Design and document appropriate testing methodologies for compliance reviews
* Draft terms of reference for monitoring activities and agree scope with key stakeholders
* Produce clear, engaging and insightful reports for senior management and Board committees
* Contribute to the broader Compliance Plan and second line control framework
* Conduct client file reviews to ensure adherence to internal standards and regulatory requirements
* Work with stakeholders to agree practical and effective remediation actions
* Support wider compliance initiatives and ad hoc projects as required
Essential:
* Proven experience within a Compliance Monitoring role
* Strong knowledge of the FCA Handbook, particularly COBS, ICOBS, SYSC and Financial Crime requirements
* Experience in investment-related compliance
* Ability to engage effectively with a wide range of stakeholders and influence outcomes
* Experience using a variety of monitoring techniques (e.g. desk-based reviews, interviews, shadowing)
* Strong analytical, attention to detail and report writing skills
* Good working knowledge of Microsoft Office tools
* Understanding of the commercial impact of regulatory requirements
Desirable:
* Knowledge of pensions, including SIPP and/or SSAS arrangements
* Relevant professional qualifications (e.g. PMI, CII, CISI, ICA)