Compliance Assurance Manager

Role overview

Responsibilities

• Develop, implement, and improve risk-based monitoring and assurance programmes aligned with regulatory and organisational objectives.
• Provide strategic direction and translate strategy into actionable plans.
• Plan and conduct monitoring reviews, thematic assessments, and deep dives; the stated plan is a minimum of four to five reviews per year depending on review scope.
• Use tools such as Tableau and Power BI to produce targeted management information and identify focus areas.
• Produce and present customer-outcome reports and recommendations to senior management, boards, and committees.
• Provide oversight and constructive challenge to support corrective action and ongoing improvement.
• Build relationships with internal and external stakeholders, including regulatory bodies as appropriate.
• Contribute thematic insights and continuous refinement of the monitoring programme.

Experience and knowledge

• Experience in compliance, risk management, internal audit, or financial-services monitoring and assurance.
• Good knowledge of the UK regulatory environment, including FCA, PRA, and relevant rulebooks such as PRIN, SYSC, COCON, CONC, ICOBS, DISP, and SUP.
• Ability to cover topics such as conduct, credit, and financial crime.
• Experience assessing customer outcomes and prioritising monitoring according to regulatory risk and potential customer harm.
• Strong analytical skills and experience with tools such as Tableau and Power BI.
• Experience using compliance software, for example MetricStream.
• Excellent written and verbal communication and ability to present findings clearly to senior management.

Desirable experience

• Knowledge of using AI for risk management and data analysis principles is desirable but not essential.
• Familiarity with FCA Product Sales Data reporting is desirable but not essential.

Working arrangements

• The description says the role offers a mixture of hybrid working.
• Travel may be required across the UK, Channel Islands, and Republic of Ireland.

About Close Brothers

Recruitment accessibility

• Close Brothers encourages applications from people who do not meet every listed criterion and will consider part-time, job-share, or full-time arrangements where possible.
• The employer offers recruitment adjustments for candidates who need them.