Compliance Monitoring Manager – Wealth Management

About the role

We are partnering with a leading wealth management firm to appoint a Compliance Monitoring Manager who will own the compliance assurance framework within the second line of defence. Reporting to senior leadership, you will lead a high‑performing team and ensure the business meets FCA regulatory expectations.

Key responsibilities

• Lead the Compliance Assurance Programme and maintain the Compliance Universe.
• Conduct risk‑based compliance reviews and present findings to senior stakeholders.
• Provide independent second‑line oversight and constructive challenge across the organisation.
• Mentor and develop the Compliance Assurance team.
• Monitor FCA requirements, including Consumer Duty, SM&CR and related obligations.
• Track key risk indicators, identify emerging risks and enhance control frameworks.
• Support regulatory change initiatives and promote a strong risk and compliance culture.

Required profile

• 5+ years of experience in compliance, risk or audit within financial services.
• Strong second‑line experience in wealth management, financial planning or a large IFA environment.
• In‑depth knowledge of FCA regulations, Consumer Duty and SM&CR.
• Previous line‑management or leadership experience.
• Excellent stakeholder management and reporting skills.
• Willingness to work a hybrid schedule (three days in the office).

Required skills