Compliance Monitoring Manager 2

Aztec Group

4d•Hybrid

About The Position

Reports to Associate Director – Global Compliance Monitoring. The purpose of this role is to act as the more experienced manager within the global compliance monitoring team, leading complex and higher-risk monitoring reviews across jurisdictions and supporting the Associate Director in delivering a consistent, risk-based Group Compliance Monitoring Framework. The role is responsible for planning and executing sophisticated monitoring activity, challenging scope and methodology where needed, ensuring high-quality reporting, and identifying thematic trends, root causes and systemic issues arising from review outcomes. In addition, the role provides day-to-day technical guidance, coaching and quality support to less experienced colleagues, helping to build capability, consistency and strong review discipline across the team.

Requirements

Strong understanding of compliance monitoring methodologies, thematic reviews and risk-based testing approaches.
Ability to identify root causes, thematic patterns and systemic issues from review outcomes.
Strong report writing, evidence assessment and issue articulation skills.
Strong stakeholder management and ability to work effectively across jurisdictions and seniority levels.
Coaching and mentoring capability to support development of less experienced colleagues.
Confident communicator able to challenge constructively and influence outcomes.
Operates with a high degree of autonomy and sound judgement on complex monitoring matters.
Provides credible challenge while maintaining constructive and effective stakeholder relationships.
Coaches others to improve review quality, consistency and confidence.
Promotes a collaborative, accountable and continuous-improvement culture.
Applies strong analytical judgement to convert monitoring insight into practical action.
Significant experience in compliance monitoring, compliance assurance, risk or internal audit roles.
Demonstrable experience leading complex reviews and producing high-quality written outputs.
Good understanding of regulatory expectations and control environments within financial services.

Nice To Haves

Relevant professional qualification desirable.

Responsibilities

Lead higher-risk, complex or cross-jurisdictional compliance monitoring reviews from planning through to reporting.
Define and challenge review scope, testing strategies and sampling approaches to ensure they are risk-based and proportionate.
Ensure working papers, evidence and review outputs are complete, well-reasoned and aligned to agreed monitoring standards.
Draft clear, concise and commercially aware reports with robust findings, ratings and practical recommendations.
Support the Associate Director in embedding the Group Compliance Monitoring Framework, methodology, templates and quality standards.
Identify thematic trends, recurring control weaknesses and root causes across monitoring activity and escalate material concerns appropriately.
Contribute to continuous improvement of review approaches, reporting, management information and monitoring tools.
Support tracking of actions and remediation to help ensure monitoring outcomes are followed through to closure.
Provide technical guidance, mentoring and review support to the D grade manager and other team members as required.
Help calibrate findings, risk ratings and report quality to promote consistency across jurisdictions and review types.
Deputise for the Associate Director on selected workstreams, meetings or stakeholder interactions when appropriate.