Compliance Monitoring Manager | Wealth Management
We’re partnering with a leading Wealth Management firm to hire an experienced Compliance Monitoring Manager to join their growing second line function.
This is an excellent opportunity for an experienced compliance professional looking to take ownership of a compliance assurance framework while leading a high-performing team in a collaborative, forward-thinking business.
Key responsibilities include:
• Leading the Compliance Assurance Programme and owning the Compliance Universe
• Delivering risk-based compliance reviews and presenting findings to senior stakeholders
• Providing independent second line oversight and constructive challenge across the business
• Leading and mentoring a Compliance Assurance team
• Monitoring FCA regulatory requirements, including Consumer Duty, SM&CR and wider compliance obligations
• Tracking key risk indicators, identifying emerging risks and driving improvements to control frameworks
• Supporting regulatory change initiatives and promoting a strong risk and compliance culture
Requirements:
✔️ 5+ years experience in Compliance, Risk or Audit within Financial Services
✔️ Strong 2LOD experience within Wealth Management, Financial Planning or a large IFA environment
✔️ Excellent knowledge of FCA regulations, Consumer Duty and SM&CR
✔️ Previous leadership or line management experience
✔️ Strong stakeholder management and reporting skills
Hybrid – Multiple office locations across Southern England & London (3 days in office)
Please apply or reach out directly for a confidential discussion.
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