Compliance Monitoring Manager

Job description

Hybrid - 3 days office

Salary c.£80,000

Compliance Monitoring Manager - Wealth & Investment Management

A respected Wealth & Investment Management firm is seeking a technically strong Compliance Monitoring Manager to lead second-line oversight across its Investment Management business.

This is a visible leadership role requiring credibility, resilience, and the confidence to constructively challenge Level 6/7 qualified Investment Managers on suitability, mandate selection, and portfolio construction decisions.

The Focus

You will own a risk-based Compliance Monitoring Plan with particular emphasis on end-to-end suitability oversight, covering:

• Fact-find integrity, risk profiling, and capacity for loss
• Mandate and client categorisation appropriateness
• Portfolio construction rationale and asset allocation alignment
• Concentration, liquidity and complex product exposure
• Ongoing suitability and portfolio drift
• Suitability report quality and client outcomes (Consumer Duty)

This role goes beyond file checking, you will interrogate whether portfolios genuinely reflect client objectives and risk tolerance, and whether first-line controls are operating effectively.

About You

• CISI/CII Level 4 minimum (Level 6 desirable or working towards)
• 5+ years’ compliance experience within wealth or discretionary investment management
• Strong technical understanding of COBS 9A, Consumer Duty, and investment governance
• Confident stakeholder management skills with the gravitas to hold senior Investment Managers to account

This is a high-impact opportunity to shape and strengthen investment suitability oversight within an established firm.

Extra information

Status

Open

Education Level

Secondary School

Location

West Yorkshire

Type of Contract

Full-time jobs

Published at

06-03-2026

Profession type

Accountancy

Full UK/EU driving license preferred

No

Car Preferred

No

Must be eligible to work in the EU

No

Cover Letter Required

No

Languages

English