An established and growing wealth management business is seeking an experienced Compliance Officer 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.