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London (Remote)
Full-time | 2nd Line Compliance
Salary - £60-72K

Overview

A high-growth, FCA-regulated cryptoasset firm is seeking a Senior Compliance Monitoring Associate to build and execute a robust Compliance Monitoring & Assurance framework.

This is a hands-on, delivery-focused role requiring strong technical expertise in compliance monitoring, compliance testing, and controls assessment within a crypto or MiFID investment firm environment.

Key Responsibilities

Compliance Monitoring & Assurance

Design, implement, and maintain a risk-based Compliance Monitoring Plan (CMP) aligned to FCA rules and regulatory obligationsExecute end-to-end compliance monitoring reviews, including scoping, fieldwork, testing, and reportingProduce evidence-based findings with clear linkage to regulatory requirementsMaintain audit-ready monitoring documentation and MI reporting outputsTrack and validate remediation actions, including performing re-testing of controls

Compliance Testing & Controls

Perform independent testing of first-line controls to assess design and operating effectivenessEvaluate key control frameworks across business functions against FCA expectationsIdentify control weaknesses, gaps, and deficiencies, providing practical remediation recommendationsConduct thematic and deep-dive reviews across regulatory topicsAssess control environments in line with regulatory frameworks (e.g. SYSC, MiFID requirements)

Regulatory Framework Application

Apply and interpret FCA Handbook rules to monitoring and testing activitiesMap regulatory obligations to internal controls and monitoring activitiesSupport the development and enhancement of compliance policies, procedures, and control frameworksMonitor regulatory developments impacting cryptoassets and investment firms, integrating into monitoring plans

Required Experience

Proven experience in Compliance Monitoring / Compliance Assurance / Compliance TestingStrong track record of designing and executing monitoring plans (CMPs)Demonstrable experience of testing and assessing controls effectivenessExperience within a cryptoasset firm OR MiFID investment firmDeep working knowledge of the FCA Handbook and UK regulatory frameworkExperience producing formal monitoring reports and regulatory-grade documentationStrong technical understanding of control frameworks and risk-based testing methodologiesExperience performing root cause analysis and control remediation validation

Technical Skillset

Compliance Monitoring Plan design & executionControl design & effectiveness testingRisk-based sampling & testing methodologiesFCA regulatory rule mapping (SYSC, COBS, etc.)Monitoring documentation & audit trail managementIssue tracking, remediation validation & re-testingGovernance reporting (e.g. Risk & Compliance Committees)

Desirable

Experience within a crypto regulatory environmentExposure to FCA authorisation or regulatory change programmesStrong knowledge of MiFID II requirements and associated controls frameworksExperience in build-stage compliance functions / setting up monitoring frameworks from scratch

Butler Rose is committed to equality in the workplace and is an equal opportunity employer.
Butler Rose Ltd is acting as an Employment Business in relation to this vacancy.

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