Compliance Manager

Job Description

Our client, a reputable Investment and Wealth Management firm are recruiting for a Risk & Compliance Manager on an 18-month FTC. The role supports the Head of Risk & Compliance, focusing on regulatory oversight, risk management, and compliance assurance activities. This varied role is an excellent opportunity to gain broad compliance exposure across the Investment management arena.

✅ Key Responsibilities Overview:

• Compliance Monitoring: Conduct client file checks, monitor communications, and provide input into the Compliance Monitoring Programme.
• Regulatory Oversight: Prepare Management Information (MI), assist with FCA reporting, and conduct due diligence.
• Advisory Support: Respond to compliance-related queries in investment management and financial advice.
• Governance & Risk: Maintain risk registers, liaise with risk champions, and oversee registers including PAD, conflicts, and complaints.
• Technical Compliance: Perform trade and transaction monitoring and assist with T&C scheme oversight.
• Policy & Audit: Maintain policies and support internal/external audits.

Ideal Candidate Profile:

• A detail-oriented and analytical compliance professional with the ability to work autonomously.
• Experience managing compliance monitoring frameworks and interpreting regulatory requirements.
• Effective communicator, able to influence at all levels and collaborate across functions.
• Comfortable with regulatory reporting, risk registers, and audit support.
• Motivated by ethical finance and working for a values-led, employee-owned organisation.

Requirements:

• Sector-specific compliance experience: Especially in wealth/investment management
• Understanding of Consumer Duty: And ability to translate monitoring results into improvement actions.
• Qualifications: Level 4 CISI, CFA, or equivalent compliance certification.

…