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Compliance Monitoring Manager

Asset/Wealth Management (Or ACD) Monitoring Experience Required   

£70K - £80K + Good Benefits                                                                                                                               

Hybrid (West End)  

Ref: 4022D

Our client, a boutique wealth manager and part of a larger global banking Group, is looking to recruit a Compliance Monitoring Manager.  You will be responsible for the delivery of the annual compliance monitoring programme by planning and leading agreed monitoring activities.  Reporting to the Senior Compliance Assurance Manager, duties will include;

  • Providing input into the annual Compliance Risk Assessment Process and annual Compliance Monitoring Programme and actively keeping compliance risks under review.
  • Leading more complex assignments, which may include overseeing the quality other team members contributions.
  • Working proactively to identify control gaps and weaknesses, determine root cause, and escalate and propose viable solutions to the risks and weaknesses identified, working to mitigate risk.
  • Mentoring less experienced compliance team members and deputise for the Senior Manager when required.
  • Agree action plans with the business as a result of monitoring work and follow up with the business to ensure identified risks are adequately mitigated.
  • Preparing and assisting with the delivery of relevant reporting and MI to inform Management of the compliance risks and their status.
  • Supporting the Head of Compliance with information for reports to the Audit Risk and Compliance Committee, Management Group, Board and the wider Group as required.
  • Ensure departmental logs and the Compliance Monitoring Programme are maintained and up to date and that they are appropriately risk rated in line with process.

You should have gained at least 5 years compliance monitoring experience with an ACD, Asset or Wealth Management firm (or a Compliance Consultancy covering such), with a solid knowledge of regulatory processes & requirements within the wealth/investment management sector and thorough understanding of the FCA Rules especially around Collective Investment Schemes

This is an excellent opportunity to advance your compliance career with one of the fastest growing wealth management businesses in the UK and to work with and learn from some of the most experienced compliance and risk professionals in the city.

If you are an ambitious and feel you have the aptitude and desire to work for a market leading business in an exciting and challenge role, then please send your CV to Gary Collins – (including a contact number & email) however please note that while we try, we cannot always reply to all applications although under no circumstance are your details ever passed on without your specific permission. 

Apply Here



Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.

The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.