Description

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