Robert Walters
Regulatory Compliance Manager
How your CV stacks up
Upload your CV to see how well it fits this job role
?%
About the Role
We are seeking an experienced compliance professional to lead key regulatory advisory and monitoring functions within a financial services organization. This role involves providing subject matter expertise on regulatory matters, overseeing compliance frameworks, and ensuring effective delivery of risk-based monitoring programs. The position also includes leadership responsibilities such as managing direct reports, representing the department in senior forums, and building strong relationships with stakeholders, regulators, and group colleagues.
Key Responsibilities
Leadership and Representation
- Act as a deputy for senior leadership when required, including participation in executive committees and other key forums.
- Serve as the deputy chair for internal compliance committees.
- Undertake occasional non-routine tasks, such as investigations, as needed.
Regulatory Advisory
- Lead the regulatory advisory function (excluding Financial Crime and Data Privacy).
- Provide subject matter expertise on regulatory matters, with knowledge of relevant authorities and frameworks (e.g., Bank of England/PRA).
- Maintain familiarity with Financial Crime topics to act as a deputy for relevant team members when necessary.
- Oversee the regulatory advice tracker to ensure timely delivery of advice, closure of actions, production of management information (MI), and identification of trends or risks.
- Manage the horizon scanning process to identify and assess changes in the external regulatory environment.
- Ensure timely submission of regulatory reports by overseeing processes and engaging with report owners.
- Prepare MI and updates for committees, presenting content when required.
- Collaborate with colleagues to ensure controls owned by Compliance are robust, up-to-date, and maintained through risk assessments.
- Lead responses to requests from group functions, regulators, or external auditors, ensuring timely communication and delivery.
- Contribute to annual training plans and deliver allocated training sessions.
Reasons to use Rodeo
Start with a chat, not a search bar
Grad scheme, placement, apprenticeship? Not sure what you want yet — that's fine. Your agent talks it through with you and turns "I have no idea" into a shortlist.
It searches the market for you
Every day your agent scans the market matching roles against what actually matters to you, not just keywords on a CV.
Only hits
No noise. No "maybe this fits." Just roles with a clear explanation of why they're right — and where to focus when applying.
Compliance Monitoring Plan (CMP)
- Develop, maintain, and execute a risk-based Compliance Monitoring Programme (CMP).
- Create a proportionate Risk Universe to underpin the CMP with input from compliance teams and business subject matter experts.
- Collaborate with stakeholders to draft and refine the CMP, ensuring alignment across departments.
- Refresh the CMP semi-annually and present updates to relevant committees for approval.
- Deliver monitoring reviews within expected standards while escalating issues promptly.
- Maintain an action tracker for CMP activities, providing accurate reporting and insights into root causes.
- Conduct quality assurance on monitoring activities to uphold high standards and identify areas for improvement or training needs.
- Perform individual monitoring reviews as part of the CMP delivery process.
Internal Control Testing
- Oversee internal control testing processes managed by team members to ensure timely delivery and adherence to standards.
- Provide guidance, support, and escalation channels for team members involved in internal control testing activities.
Get help with your application
Your very own career expert that helps elevate your application to the next level.
People Management
- Promote organizational values and act as an ambassador for the department and broader organization.
- Manage direct reports effectively by setting clear objectives, conducting regular performance assessments, and supporting professional development plans.
- Build strong relationships across all levels of the organization, including senior management, group colleagues, and regulators.
Skills & Knowledge Requirements
- Relevant professional qualifications (e.g., ICA Risk & Governance Diploma or equivalent).
- Degree-level education preferred.
- Extensive experience (10+ years) in financial services compliance roles, including advisory and monitoring functions within banking environments.
- Strong understanding of retail and corporate sectors, products, distribution channels, and compliance applications in these areas.
- Proven ability to liaise with regulators effectively, particularly supervisory teams.
- Demonstrated stakeholder relationship management skills across junior to senior levels within organizations.
- Ability to make informed decisions that balance risk considerations with commercial objectives.
Company
Robert Walters Operations Limited is an employment business and employment agency and welcomes applications from all candidates.
“It took my CV and asked me questions relevant to understanding what kind of jobs to suggest for me. Suggestions were almost perfect. Jobs were exactly what I’ve been looking for.”
Jessica, London
Skills
Location