Senior Regulatory Compliance Officer – Head of Monitoring – Testing

Maintenance of Way Equipment Services

Senior Regulatory Compliance Officer at Altery managing compliance, governance, and risk management for financial services. Leading monitoring and testing compliance programs while ensuring regulatory adherence.

Posted 6/14/2026full-timeLondon • 🇬🇧 United KingdomSeniorWebsite

About the role

Key responsibilities & impact

Provide independent 2LoD oversight and challenge across regulatory compliance, financial crime, operational resilience, safeguarding, conduct, and consumer protection controls.
Monitor compliance with FCA rules, regulatory guidance, and supervisory expectations.
Support the UK Head of Compliance in maintaining and enhancing an effective regulatory compliance framework.
Act as a trusted advisor to business stakeholders on regulatory compliance matters.
Provide constructive challenge and independent judgement on regulatory risks and business initiatives.
Lead and manage the Compliance Monitoring Programme (CMP).
Design and execute a risk-based monitoring and testing plan covering regulatory compliance and financial crime controls for the entities within Altery Group.
Develop and maintain monitoring methodologies, testing techniques, working sheets and reporting frameworks.
Assess the design and operating effectiveness of key controls.
Identify control weaknesses, document findings, and oversee remediation activities through to completion.
Produce clear and insightful monitoring reports for senior management and governance committees.
Independently validate remediation actions and closure evidence to ensure issues have been effectively addressed and embedded.
Maintain oversight of monitoring findings, action plans, overdue issues, and recurring themes.
Ensure monitoring activities remain proportionate, risk-based, evidence-driven, and aligned with regulatory expectations and industry good practice.

Requirements

What you’ll need

Significant experience in a regulatory compliance, compliance assurance, compliance monitoring, or compliance oversight role within financial services, fintech, payments, banking, or e-money institutions.
Strong knowledge of FCA rules, guidance, and supervisory expectations.
Experience operating within a Second Line of Defence environment.
Strong understanding of governance, systems and controls, and regulatory assurance frameworks.
Proven experience designing, managing, and executing compliance monitoring and testing programmes.
Strong understanding of control design, effectiveness assessments, and remediation processes.
Experience conducting thematic reviews, root cause analysis, and control effectiveness assessments.
Ability to translate complex regulatory requirements into practical testing and assurance activities.
Strong understanding of key UK regulatory areas, including FCA Principles for Businesses, Consumer Duty, Financial Crime (AML, CTF, Sanctions and Fraud), Safeguarding, Operational Resilience, Outsourcing and Third-Party Risk Management, Conduct Risk, Financial Promotions, Complaints Handling, Regulatory Reporting, and Data Protection and Information Governance.
Professional Qualifications ICA, ACAMS, IRM, or equivalent professional qualifications are desirable.

Benefits

Comp & perks

Flexibility
Hybrid Working
Competitive benefits
Local perks
Modern office facilities

ATS Keywords

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Hard Skills & Tools

regulatory compliancecompliance monitoringcompliance assurancerisk-based monitoringtesting techniquescontrol designeffectiveness assessmentsremediation processesthematic reviewsroot cause analysis

Soft Skills

independent judgementconstructive challengetrusted advisorcommunicationanalytical thinkingproblem-solvingstakeholder managementreportingoversightattention to detail

Certifications

ICAACAMSIRM