Job Description
Hybrid - 3 days office
Salary c.£80,000
Compliance Monitoring Manager - Wealth & Investment Management
A respected Wealth & Investment Management firm is seeking a technically strong Compliance Monitoring Manager to lead second-line oversight across its Investment Management business.
This is a visible leadership role requiring credibility, resilience, and the confidence to constructively challenge Level 6/7 qualified Investment Managers on suitability, mandate selection, and portfolio construction decisions.
The Focus
You will own a risk-based Compliance Monitoring Plan with particular emphasis on end-to-end suitability oversight, covering:
* Fact-find integrity, risk profiling, and capacity for loss
* Mandate and client categorisation appropriateness
* Portfolio construction rationale and asset allocation alignment
* Concentration, liquidity and complex product exposure
* Ongoing suitability and portfolio drift
* Suitability report quality and client outcomes (Consumer Duty)
This role goes beyond file checking, you will interrogate whether portfolios genuinely reflect client objectives and risk tolerance, and whether first-line controls are operating effectively.
About You
* CISI/CII Level 4 minimum (Level 6 desirable or working towards)
* 5+ years’ compliance experience within wealth or discretionary investment management
* Strong technical understanding of COBS 9A, Consumer Duty, and investment governance
* Confident stakeholder management skills with the gravitas to hold senior Investment Managers to account
This is a high-impact opportunity to shape and strengthen investment suitability oversight within an established firm.