Alexander Barnes
Risk & Compliance Assurance Manager
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Alexander-Barnes Partnership Opportunity
Alexander-Barnes have partnered with a fast-growing, well-funded FinTech Lender. Having recently closed a significant new funding round, the business is now investing in its Risk & Compliance function and this newly created role sits right at the heart of that.
This is a rare opportunity to build and own an independent monitoring function from a position of genuine seniority, rather than join one that already exists. You'll lead the Risk and Compliance Monitoring Plan as part of the second line of defence, with direct visibility to the Risk Committee, regulators and partner banks.
What you'll do:
- Monitoring leadership - lead the Risk and Compliance Monitoring Plan from the second line, independent of the advisory team, providing oversight, challenge and governance to the first line.
- Plan design - build the risk-based monitoring plan and set the standard for how reviews are scoped, run and reported.
- Thematic reviews and control testing - design and run reviews that pressure-test first-line risk and compliance controls across products, processes and partner relationships.
- Cross-team coordination - align monitoring standards and share findings across Compliance, Financial Crime and international Compliance teams.
- Action tracking - own follow-up to closure, and challenge the business directly when actions stall.
- Governance reporting - report findings and recommendations to the Risk Committee, senior leadership and partner banks.
- Quality assurance - QA monitoring reviews run by other teams to keep independence and consistency high.
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What they're looking for
Essential:
- Hands-on experience owning or running a Compliance Monitoring or independent assurance programme end-to-end in a UK FCA-regulated firm and not just participating in one.
- A genuine second-line mindset: independent of the first line, and comfortable challenging the business constructively.
- A track record of building risk-based monitoring plans.
- Strong working knowledge of FCA SYSC and the EMD/PSD regime, applied in practice.
- Demonstrable experience designing thematic reviews and control tests, with confidence analysing data and systems.
- Comfortable presenting to senior stakeholders, governance forums and partner banks.
- Discipline driving actions to closure, including the harder conversations about ageing items.
- FinTech, payments or EMI background, ideally with exposure to fraud, safeguarding or operational resilience.
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Great to have:
- Experience coordinating monitoring across jurisdictions or across financial crime and wider compliance.
- ICA Diploma in Compliance, ACAMS, IIA or equivalent; Big 4 or consulting backgrounds in compliance/audit also welcome.
Hybrid working (3 days a week from London office)
Interested in a confidential conversation? Get in touch and apply now.
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