Associate Director – Global Compliance Monitoring

At Aztec, we’re committed to building and nurturing a diverse and inclusive workforce where everyone feels valued, respected, and able to grow. We know that different backgrounds, perspectives, and experiences strengthen our business and we welcome applications from all individuals. So, if your experience doesn’t exactly match with every part of the job description, but you are excited about the role, we would still like to hear from you. If you are passionate, curious, innovative and data driven, you could still be a good fit.
About the role:
Reports to Head of Compliance
The purpose of this role is to lead the implementation and ongoing enhancement of a Group‑wide Compliance Monitoring Framework that operates consistently across all jurisdictions and business lines. The role provides strategic leadership, ensuring monitoring activities are aligned with the Group’s risk strategy and regulatory expectations, while driving standardisation, technology adoption and continuous improvement across the global monitoring function. It acts as a key source of proactive insight for Boards, ExCo and local Compliance Officers by identifying systemic risks, thematic trends and root causes from monitoring outcomes. The role also ensures the integrity and robustness of methodologies, review types, risk‑rating models and scoping rules, supported by strong governance and quality assurance. In addition, it builds global capability by developing monitoring tools, templates, training and cross‑jurisdictional expertise, fostering a culture of continuous learning and high‑quality, risk‑based compliance testing.
Accountabilities:
Strategic Leadership
Lead the implementation of a Group wide Compliance Monitoring Framework covering all jurisdictions and business lines ensuring alignment with the group strategy
Chair the Compliance Monitoring forum
Provide proactive insights to Boards, Exco and local Compliance Officers on monitoring outcomes and systemic risks
Drive Standardisation, technology adoption and continuous improvement across monitoring activities globally​
Standards Setting
Own the Group Monitoring Framework, methodologies, review types, scoping rules and risk rating models to ensure they remain robust, risk-based and aligned with the Enterprise Risk Management Framework
Ensure that jurisdictional monitoring plans adhere to group standards whilst respecting local regulatory requirements
Approve or escalate changes to monitoring scope, frequency and methodology including deferrals, trigger driven reviews and thematic priorities
Ensure a robust quality assurance review of team monitoring activities
Capability Development
Build monitoring capability across a jurisdictoina monitoring team by developing shared training tools, templates and review standards
Develop and mentor the global monitoring team to ensure consistent review quality and cross jurisdictional expertise
Promote continuous learning through feedback loops, post review evaluation and subject matter knowledge sharing
Technical Skills:
Deep understanding of compliance monitoring methodologies, thematic review design and risk-based testing approaches across multi-jurisdictional environments
Skilled in identifying root causes, thematic trends and systemic risk indicators from monitoring outcomes
Experience with regulatory horizon scanning and translating regulatory change into monitoring enhancements
People Skills:
Exceptional collaboration and stakeholder management across leadership, Compliance peers, clients and regulators.
Skilled in coaching mentoring and supporting the development of compliance professionals across jurisdictions
Proven capability in leading high perfoming teams
Encourages professional growth, cross jurisdictional learning and the development of monitoring specialists
Experience & Qualifications:
Minimum of 10 years senior experience in regulatory compliance and/or audit roles
Deep expertise in monitoring frameworks and risk based methodologies
Strong regulatory change and horizon scaning capabaility
Ability to drive standardisation and technology adoption and continuous improvement
Leadership Requirements:
Leads the with clear forward looking compliance vision aligning global monitoring to organisational strategy
Sets and upholds rigorous risk-based monitoring standards
Builds global capability bu developing people tools and frameworks
Creates a collaborative high performing culture
Applies deep subject‑matter expertise to interpret monitoring insights, anticipate regulatory change and guide teams with sound, data‑driven judgement.
Key Internal Interfaces:
ExCo-1
Client Services: Investor Services teams, Data & Delivery Ops, Process Optimisation and Digitisation
Group Functions: Risk & Compliance, Technology, Legal
Key External Interfaces:
Regulators
Auditors
We understand that everyone has different needs, and that’s why our employee package includes a variety of benefits. In addition to a competitive salary, here are some examples of the benefits that we may offer:
Discretionary bonus scheme
Flexible, hybrid working
Ability to work abroad for up to 3 weeks per annum
Generous holiday allowance
Pension scheme
Private medical insurance, including eye care
Life assurance (death in service and critical illness benefit)
Worldwide travel insurance
Health and wellbeing programmes
On-site parking