Senior Compliance Manager

An opportunity to join a growing IFA / wealth management business in a collaborative, forward-thinking environment. The role focuses on leading compliance monitoring activity and ensuring regulatory risks are effectively managed.

Key Responsibilities

• Lead and oversee compliance monitoring and risk management activities
• Develop and maintain a strong understanding of the regulatory environment
• Design and implement monitoring programmes and risk assessments
• Conduct regular reviews to identify non-compliance and improvement areas
• Ensure policies, procedures, and controls meet regulatory requirements
• Identify and challenge compliance risks across the business
• Produce and present reports to senior stakeholders and committees

Skills & Experience

• Extensive experience in a compliance monitoring role within a regulated environment
• Strong knowledge of relevant regulatory frameworks (e.g. FCA)
• Ability to advise and influence senior stakeholders
• Experience delivering training and supporting staff

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