Compliance Monitoring Manager Wealth Management

A wealth & asset management business is seeking to hire a Compliance Manager to join their broader Compliance function.

With a strong focus on Compliance Monitoring, the role will also encompass a range of other Compliance duties.

This role will require 4-days a week in the London office.

Job Requirements

1. Deliver the firm's Compliance Monitoring Programme (CMP), conducting regular reviews, documenting findings, and driving remedial actions with the business.
2. Maintain and update compliance policies and controls in line with FCA rules (MiFID II, CASS, MAR, COBS), keeping teams informed of regulatory changes.
3. Provide day-to-day compliance advisory support to portfolio managers and operational teams on regulatory queries.
4. Support trade surveillance, transaction monitoring, and thematic reviews covering best execution, market abuse, financial crime, and client suitability.
5. Assist with client classification, appropriateness assessments, investor disclosures, and preparation of regulatory returns.
6. Contribute to compliance reporting for senior management and committees, working closely with finance and operations.

Unless otherwise stated, candidates must have the right to work in the UK.

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