Compliance Monitoring Manager

What is a Compliance Monitoring Manager?

A Compliance Monitoring Manager is responsible for overseeing the ongoing monitoring and evaluation of the institution’s compliance with regulatory requirements and internal policies. This role involves developing and managing monitoring programs to assess the effectiveness of compliance controls, identifying potential risks or gaps, and ensuring that the organization remains aligned with laws such as the Dodd-Frank Act and Anti-Money Laundering (AML) regulations. The Compliance Monitoring Manager works closely with other compliance and risk management teams, conducts regular reviews and audits, and reports findings to senior management. They play a critical role in ensuring the continuous improvement of the organization’s compliance framework and mitigating regulatory risks.

What are the responsibilities of a Compliance Monitoring Manager do?

• Developing and implementing compliance monitoring programs to assess the effectiveness of regulatory controls.
• Conducting regular reviews and audits to ensure the organization adheres to financial regulations and internal policies.
• Identifying compliance gaps and risks through monitoring activities and recommend corrective actions.
• Collaborating with compliance and risk teams to integrate monitoring results into broader compliance strategies.
• Tracking and reporting on compliance monitoring findings to senior management and relevant stakeholders.
• Maintaining awareness about regulatory changes and update monitoring processes to ensure ongoing compliance.
• Supervising monitoring activities across departments to ensure consistent application of compliance standards.
• Assisting in preparing for internal and external audits by providing necessary documentation and reports.
• Ensuring that compliance monitoring programs are aligned with regulatory requirements such as AML and the Dodd-Frank Act.
• Working to continuously improve the organization’s compliance monitoring framework by implementing best practices and new technologies.

Are you looking to hire a Compliance Monitoring Manager?

Whether it’s permanent or an interim appointment, we can help you find the perfect candidate for the position. To find out more, complete the contact form below and we’ll be in touch within the next working day to discuss your opportunity further.

Why work with Kind Consultancy?

• Kind has a large pre-existing network of Compliance, Risk and Financial Crimes experts, which allows us to present your vacancy to leading professionals in the sector.
• An active headhunting approach provides the best candidates for your organization and delivers more accurate searches.
• With a shortlist of pre-screened candidates selected by our specialist team, there is no need for you to sort through irrelevant or underqualified CVs.
• Kind Consultancy maintains a fast-growing database of Risk, Compliance and Financial Crimes professionals who will be eager to hear about your need in their niche.

If you want to hire an exceptional Compliance Monitoring Manager, complete the contact form below and we will initiate a conversation about how Kind Consultancy can help find the ideal person for your organization.