Senior Compliance Monitoring Manager

Senior Compliance Monitoring Manager

Our client, a leading national firm of Independent Financial Advisers, provides trusted financial planning and wealth management services to clients across the UK. We are strengthening our compliance oversight function to maintain robust governance and control frameworks.

Location: Hybrid – Based out of various locations | Contact: 07515031496 | paul@claytondavies.com

Role & Responsibilities

• Lead the design and delivery of the annual compliance monitoring plan in line with risk appetite and regulatory priorities.
• Produce high‑quality reports and MI for senior management and governance committees, highlighting findings, trends and areas for improvement.
• Work collaboratively with business leaders to develop practical and proportionate action plans.
• Stay up to date with regulatory developments, translating requirements into actionable monitoring and guidance.
• Contribute to continuous enhancement of compliance frameworks, systems and methodologies.

Qualifications

• Strong background in compliance monitoring or audit within financial services, ideally in wealth management or IFA sector.
• Excellent working knowledge of FCA rules (COBS, SYSC and CONC).
• Proven ability to design and execute risk‑based monitoring programmes.

Additional Information

Due to the high volume of applications, we are unable to respond to everyone directly. If you are not contacted within 7 working days, you have unfortunately not been shortlisted.

Clayton Davies is acting as an employment agency on behalf of our client.

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