An established and growing wealth management business is seeking an experienced Compliance Monitor Manager to lead its second-line monitoring function.
This senior role suits a technically strong compliance professional with proven leadership skills and a commitment to delivering good client outcomes.
Reporting to senior leadership, you will manage and develop a team of 10 overseeing investment advice and discretionary portfolio management activities. You will help shape monitoring strategy, strengthen regulatory controls, and embed a strong compliance culture.
The Role
You will oversee a risk-based compliance monitoring programme across investment management, including file reviews, thematic assessments, and regulatory oversight to ensure alignment with FCA requirements and internal standards.
Leadership & Oversight
- Lead, mentor, and develop a team of compliance professionals.
- Allocate workloads and ensure high-quality, timely reviews.
- Maintain consistency of file review standards.
- Enhance monitoring frameworks and methodologies.
Monitoring & Reviews
- Oversee second-line reviews assessing suitability and appropriateness of advice and portfolio decisions.
- Review fact-finds, risk profiling, vulnerability considerations, and suitability assessments.
- Challenge portfolio construction and investment rationale where required.
- Identify systemic risks and control weaknesses, ensuring remediation.
- Lead thematic and risk-based reviews across advisory and discretionary activities.
Regulatory Oversight
- Ensure alignment with relevant FCA frameworks (COBS, SYSC, PRIN) and Consumer Duty.
- Interpret regulatory requirements and provide practical guidance.
Reporting & Stakeholder Engagement
- Deliver clear reports outlining findings, trends, and recommendations.
- Present management information to senior leadership.
- Engage with Portfolio and Investment Managers to promote a collaborative, solutions-focused compliance culture.
About You
You are a credible compliance leader with experience in wealth or investment management.
Qualifications & Experience
- Level 4 Investment Advice Diploma (CISI/CII or equivalent).
- Strong background in compliance monitoring, audit, or QA within wealth or investment management.
- Experience reviewing investment advice and/or discretionary portfolios.
- Previous team leadership or mentoring experience.
Skills & Attributes
- Strong knowledge of FCA suitability and conduct requirements.
- Analytical, detail-oriented, and sound judgement.
- Confident communicator able to challenge senior professionals constructively.
- Organised, strategic, and committed to high professional standards.
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