Job Description
Hybrid - 3 days office
Salary c.£65,000 - £75,000
An established and highly respected Wealth and Investment management firm is seeking a Compliance Monitoring Manager to lead its monitoring function and enhance the firm's approach to regulatory assurance and oversight.
This is a key second-line role, responsible for delivering a risk-based compliance monitoring plan, conducting thematic reviews, and ensuring regulatory requirements and internal standards are met across the business.
The Role
- Develop and implement a risk-based monitoring plan aligned with the firm's risk appetite and FCA expectations.
- Deliver second-line oversight and thematic reviews, ensuring timely completion of testing and follow-up actions.
- Produce clear, insightful reports for senior management and the board, highlighting key risks and recommendations.
- Collaborate with internal stakeholders across Risk, Compliance, and Operations to strengthen the control environment.
- Lead and develop a small team, promoting a proactive and positive compliance culture.
About You
- Minimum CISI or CII Level 4 qualification (ideally working towards Level 6).
- At least 5 years' experience in compliance or assurance within financial services or another regulated environment.
- Strong stakeholder management, communication, and analytical skills.
- Proven experience delivering monitoring or thematic review activity in line with FCA standards.
- Team leadership or supervisory experience preferred.
The Opportunity
This is a fantastic opportunity to take ownership of the compliance monitoring function within a respected financial services firm, where you'll have visibility across the business and genuine scope to influence and improve risk culture.
If you're an experienced compliance professional seeking a leadership role within a collaborative and values-led organisation, we'd love to hear from you.
