Alexander Barnes
Risk & Compliance Assurance Manager
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Risk & Compliance Assurance Manager - FinTech/ London (Hybrid)
An exciting role with a fast-growing FinTech lending business is looking for a senior Risk & Compliance Assurance Manager to sit in the second line, at the intersection of regulation, product, and business growth. The line manager is a great operator and leader too; this person can learn loads from them.
You'll own the compliance monitoring plan, coordinate with other second-line teams, set monitoring best practices, and independently test how well the business manages risk and complies with the rules, giving the Risk Committee, regulators, and partner banks confidence that controls are working as intended.
The Role
A senior leadership role for someone who has built and run an independent monitoring programme before and wants to do it again at a fast-growing FinTech. You'll own the Risk and Compliance Monitoring Plan, design the thematic reviews and control tests that pressure test first-line controls, and lead follow-up of actions through to closure. Looking for deep monitoring craft, sharp analytical judgment, and a pragmatic, risk-based approach.
What you'll be doing
- Lead the Risk and Compliance Monitoring Plan, operating independently from the advisory team, providing oversight, challenge, and governance to the first line.
- Design a risk-based monitoring plan and set the standards for how reviews are scoped, conducted, and reported.
- Design and run thematic reviews and control tests across risk and regulatory compliance, assessing whether first-line controls are working across products, processes, and partner banks.
- Coordinate monitoring across UK Compliance, Financial Crime, and US Compliance teams to lift the overall quality bar.
- Own follow-up of monitoring actions to closure, surfacing aging actions to the Risk Committee and challenging the business where progress stalls.
- Produce monitoring reporting for the Risk Committee, senior leadership, and partner banks, translating findings into clear, actionable recommendations.
- Quality assure monitoring reviews carried out by other areas.
- Provide pragmatic, business-minded challenge that helps the first line improve controls.
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Essential
- Hands-on experience owning or running a Compliance Monitoring or independent assurance programme in a UK FCA-regulated firm, designing and running reviews end-to-end, not just participating.
- Proven second-line experience, independent of the first line, comfortable challenging the business constructively.
- Track record 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, confident analyzing data and systems.
- Comfortable presenting findings to senior stakeholders, governance forums, and partner banks.
- Track record driving monitoring actions to closure, including the harder conversations.
- Sharp analytical and written communication, clear, evidence-based reports, and policy documents.
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Desirable
- Experience in an FCA-regulated EMI, payments, or banking firm, recent fraud, safeguarding, or operational resilience exposure a plus.
- Cross-jurisdictional monitoring experience (e.g., UK and US) or across financial crime and broader compliance.
- ICA Diploma, ACAMS, IIA, or equivalent; Big 4 or consulting background in FS compliance/audit also welcome.
- Genuine seniority, real mandate, strong package.
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