⭐️ Senior Compliance Monitoring Manager
📍 Hybrid based out of various locations
💰 Competitive Salary
Our client is a leading national firm of Independent Financial Advisers, providing trusted financial planning and wealth management services to clients across the UK. As the business continues to grow, they are strengthening our compliance oversight function to ensure their governance and control frameworks remain robust and forward-looking.
As Senior Compliance Monitoring Manager, you’ll lead the firm’s compliance monitoring activity, ensuring that business practices remain aligned with FCA requirements and internal standards. You’ll play a key role in safeguarding the firm’s regulatory integrity while supporting a culture of good conduct and continuous improvement.
Role & Responsibilities: 📋
* Lead the design and delivery of the annual compliance monitoring plan in line with the firm’s 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 the continuous enhancement of compliance frameworks, systems, and methodologies.
Do you have the following to apply? ✅
* Must have compliance monitoring experience within the wealth management industry
* Excellent working knowledge of FCA rules.
* Proven ability to design and execute risk-based monitoring programmes.
Due to the high volume of applications received 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.