Hybrid – 3 days office

Salary c.£65,000 – £75,000

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.