An established and growing wealth management business is seeking an experienced Compliance Manager to lead its second-line monitoring function.

This senior role suits a technically strong compliance professional with proven leadership skills and a commitment to delivering good client outcomes.

Reporting to senior leadership, you will manage and develop a team overseeing investment advice and discretionary portfolio management activities. You will help shape monitoring strategy, strengthen regulatory controls, and embed a strong compliance culture.

The Role

You will oversee a risk-based compliance monitoring programme across investment management, including file reviews, thematic assessments, and regulatory oversight to ensure alignment with FCA requirements and internal standards.

Leadership & Oversight
*Lead, mentor, and develop a team of compliance professionals.
*Allocate workloads and ensure high-quality, timely reviews.
*Maintain consistency of file review standards.
*Enhance monitoring frameworks and methodologies.
Monitoring & Reviews
*Oversee second-line reviews assessing suitability and appropriateness of advice and portfolio decisions.
*Review fact-finds, risk profiling, vulnerability considerations, and suitability assessments.
*Challenge portfolio construction and investment rationale where required.
*Identify systemic risks and control weaknesses, ensuring remediation.
*Lead thematic and risk-based reviews across advisory and discretionary activities.
Regulatory Oversight
*Ensure alignment with relevant FCA frameworks (COBS, SYSC, PRIN) and Consumer Duty.
*Interpret regulatory requirements and provide practical guidance.
Reporting & Stakeholder Engagement
*Deliver clear reports outlining findings, trends, and recommendations.
*Present management information to senior leadership.
*Engage with Portfolio and Investment Managers to promote a collaborative, solutions-focused compliance culture.
About You

You are a credible compliance leader with experience in wealth or investment management.

Qualifications & Experience
*Level 4 Investment Advice Diploma (CISI/CII or equivalent).
*Strong background in compliance monitoring, audit, or QA within wealth or investment management.
*Experience reviewing investment advice and/or discretionary portfolios.
*Previous team leadership or mentoring experience.
Skills & Attributes
*Strong knowledge of FCA suitability and conduct requirements.
*Analytical, detail-oriented, and sound judgement.
*Confident communicator able to challenge senior professionals constructively.
*Organised, strategic, and committed to high professional standards.