Find a job 
Featured Companies 
Featured Universities 
For Companies At a Glance
- Tasks: Manage compliance activities, conduct monitoring, and support regulatory oversight.
- Company: Join a reputable Investment and Wealth Management firm focused on ethical finance.
- Benefits: Enjoy a values-led culture and the chance to work in a dynamic environment.
- Why this job: Gain broad compliance exposure and make a real impact in the investment management sector.
- Qualifications: Must have compliance experience in wealth/investment management and relevant certifications.
- Other info: This is an 18-month fixed-term contract with opportunities for professional growth.
The predicted salary is between 48000 - 72000 £ per year.
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.
Contact Detail:
MERJE Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Manager
✨Tip Number 1
Familiarise yourself with the latest regulations and compliance frameworks specific to the investment and wealth management sector. This knowledge will not only help you in interviews but also demonstrate your commitment to staying updated in a rapidly changing environment.
✨Tip Number 2
Network with professionals already working in compliance roles within investment firms. Attend industry events or join relevant online forums to gain insights and potentially get referrals that could boost your application.
✨Tip Number 3
Prepare to discuss real-life scenarios where you've successfully managed compliance issues or improved processes. Having concrete examples ready will showcase your analytical skills and ability to work autonomously, which are key for this role.
✨Tip Number 4
Research the company’s values and ethical stance on finance. Being able to articulate how your personal values align with theirs during the interview can set you apart as a candidate who is genuinely motivated to contribute to their mission.
We think you need these skills to ace Compliance Manager
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in compliance and risk management, particularly within the investment and wealth management sector. Use keywords from the job description to demonstrate your fit for the role.
Craft a Compelling Cover Letter: Write a cover letter that showcases your understanding of regulatory oversight and compliance assurance activities. Mention specific experiences that align with the responsibilities outlined in the job description, such as conducting client file checks or preparing Management Information.
Highlight Relevant Qualifications: Clearly state your qualifications, such as Level 4 CISI or CFA certifications, in both your CV and cover letter. Emphasise how these qualifications equip you to handle the technical compliance aspects of the role.
Showcase Soft Skills: In your application, highlight your communication skills and ability to influence at all levels. Provide examples of how you've collaborated across functions or responded to compliance-related queries effectively.
How to prepare for a job interview at MERJE
✨Know Your Regulations
Familiarise yourself with the key regulations affecting the investment and wealth management sector. Be prepared to discuss how these regulations impact compliance monitoring and risk management, as this will demonstrate your expertise and understanding of the role.
✨Showcase Your Analytical Skills
As a Compliance Manager, you'll need to be detail-oriented and analytical. Prepare examples from your past experience where you've successfully managed compliance frameworks or interpreted regulatory requirements, highlighting your problem-solving abilities.
✨Communicate Effectively
Effective communication is crucial in this role. Practice articulating complex compliance concepts clearly and concisely. Be ready to discuss how you've influenced stakeholders at various levels and collaborated across functions in previous roles.
✨Demonstrate Ethical Commitment
Since the ideal candidate is motivated by ethical finance, be prepared to discuss your values and how they align with the company's mission. Share examples of how you've prioritised ethical considerations in your compliance work.
