Hybrid - 3 days office
An established and highly respected Wealth and Investment Management firm is looking for a Compliance Monitoring Manager to lead its monitoring function and elevate the firm's approach to regulatory assurance and oversight.
This is a key second-line role with real influence across the business. You will deliver a risk-based compliance monitoring plan, conduct thematic reviews, and ensure regulatory requirements and internal standards are consistently met.
The Role
* Lead and develop a small team, fostering a proactive and positive compliance culture.
* Design and implement a risk-based monitoring plan aligned with the firm's risk appetite and FCA expectations.
* Deliver second-line oversight and thematic reviews, ensuring timely testing and follow-up actions.
* Produce clear, insightful reports for senior management and the board, highlighting key risks and recommendations.
* Collaborate across Risk, Compliance, and Operations to strengthen the control environment and enhance regulatory resilience.
About You
* Minimum CISI or CII Level 4 qualification (Level 6 in progress desirable).
* At least 5 years' experience in compliance or assurance within financial services or another regulated environment.
* Strong stakeholder management, communication, and analytical skills.
* Proven experience delivering monitoring or thematic review activities in line with FCA standards.
* Team leadership or supervisory experience, ideally with a small team of 3–7 professionals.
The Opportunity
This is an exciting managerial role with ownership of the compliance monitoring function in a highly regarded financial services firm. You'll have business-wide visibility and genuine scope to influence and enhance the firm's risk culture, shaping both processes and behaviours.
If you're an experienced compliance professional seeking a leadership role in a collaborative, values-driven organisation, we'd love to hear from you.