Compliance Monitoring Manager

Hybrid - 3 days office Salary c.£65,000 - £75,000 An established and highly respected Wealth and Investment management firm is seeking a Compliance Monitoring Manager to lead its monitoring function and enhance the firm’s approach to regulatory assurance and oversight. This is a key second-line role, responsible for delivering a risk-based compliance monitoring plan , conducting thematic reviews , and ensuring regulatory requirements and internal standards are met across the business. The Role Develop 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 completion of testing and follow-up actions. Produce clear, insightful reports for senior management and the board , highlighting key risks and recommendations. Collaborate with internal stakeholders across Risk, Compliance, and Operations to strengthen the control environment. Lead and develop a small team, promoting a proactive and positive compliance culture. About You Minimum CISI or CII Level 4 qualification (ideally working towards Level 6). 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 activity in line with FCA standards. Team leadership or supervisory experience preferred. The Opportunity This is a fantastic opportunity to take ownership of the compliance monitoring function within a respected financial services firm, where you’ll have visibility across the business and genuine scope to influence and improve risk culture. If you’re an experienced compliance professional seeking a leadership role within a collaborative and values-led organisation, we’d love to hear from you.

Location: West Yorkshire, UK, GB

Posted Date: 11/1/2025