Find a job 
Featured Companies 
Featured Universities 
For Companies At a Glance
- Tasks: Conduct in-depth reviews to ensure compliance and high-quality client outcomes.
- Company: Respected wealth and investment management firm with a strong compliance culture.
- Benefits: Competitive salary, professional development, and collaborative work environment.
- Why this job: Make a real impact on client outcomes while ensuring regulatory compliance.
- Qualifications: Level 4 Investment Advice Diploma and 3 years in compliance monitoring.
- Other info: Join a dynamic team focused on continuous improvement and strong client relationships.
The predicted salary is between 36000 - 60000 ÂŁ per year.
Meraki Talent is working with an established and respected wealth and investment management firm that is seeking experienced Compliance Monitoring Officers to join its second‑line compliance function. These roles involve conducting file reviews and thematic assessments across the firm’s investment management and advisory services, ensuring high‑quality client outcomes and adherence to FCA regulations.
As a Compliance Monitoring Officer, you will carry out detailed second‑line reviews of investment advice and portfolio management activities, help ensure that services are delivered in line with regulatory requirements, internal policies and best‑practice standards, with a strong focus on suitability, Consumer Duty obligations and the identification of conduct risks.
Key Responsibilities- Conduct in-depth reviews of client files to assess the suitability and appropriateness of investment advice and portfolio construction.
- Ensure risk profiling, fact‑finding and suitability reports accurately reflect clients’ financial circumstances, objectives and risk appetite, with particular care for vulnerable clients.
- Review supporting documentation, asset allocation decisions and investment rationale against regulatory and internal standards.
- Observe and assess recorded client interactions to ensure compliance with internal and FCA requirements.
- Identify and document breaches, control gaps and areas for improvement, ensuring timely follow‑up and resolution.
- Support and contribute to thematic and risk‑based monitoring activity across the business.
- Conduct reviews in line with FCA rules (including COBS, SYSC, PRIN) and internal suitability frameworks.
- Maintain awareness of regulatory developments, including evolving expectations under Consumer Duty.
- Contribute to the refinement and ongoing development of the compliance monitoring programme.
- Produce clear, structured monitoring reports outlining findings, trends and recommended actions.
- Maintain accurate and auditable records of reviews and outcomes.
- Assist with the preparation of MI for compliance committees and senior leadership.
- Engage constructively with Investment and Portfolio Managers, Heads of Office and other stakeholders to promote high standards and good client outcomes.
- Work with the Training & Competence team to support learning initiatives related to suitability and regulatory expectations.
- Foster strong, collaborative relationships across the organisation.
- Level 4 Investment Advice Diploma (IAD) or equivalent (CISI or CII).
- Minimum 3 years of experience in compliance monitoring, audit or quality assurance within wealth management, stockbroking or investment management.
- Experience reviewing investment advice or discretionary portfolio management.
- Understanding of monitoring methodologies and risk‑based approaches.
Location: Leeds, England, United Kingdom
Compliance Monitoring Officer - Investment Management in Leeds employer: Jobs via eFinancialCareers
Contact Detail:
Jobs via eFinancialCareers Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Monitoring Officer - Investment Management in Leeds
✨Tip Number 1
Network like a pro! Reach out to your connections in the investment management sector and let them know you're on the lookout for Compliance Monitoring Officer roles. You never know who might have the inside scoop on job openings or can put in a good word for you.
✨Tip Number 2
Prepare for interviews by brushing up on FCA regulations and compliance best practices. Be ready to discuss how you've ensured client outcomes in your previous roles. We want you to shine and show that you’re the perfect fit for the team!
✨Tip Number 3
Don’t just apply anywhere; focus on firms that align with your values and expertise. Use our website to find roles that excite you, and tailor your approach to each company’s culture and mission. It’ll make a difference!
✨Tip Number 4
Follow up after interviews! A quick thank-you email can go a long way in keeping you top of mind. Share your enthusiasm for the role and reiterate how your skills can contribute to their compliance monitoring efforts.
We think you need these skills to ace Compliance Monitoring Officer - Investment Management in Leeds
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Compliance Monitoring Officer role. Highlight your experience in compliance monitoring, investment advice, and any relevant qualifications like the Level 4 Investment Advice Diploma. We want to see how your background aligns with our needs!
Showcase Your Skills: In your application, don’t just list your responsibilities; showcase your skills! Talk about specific instances where you conducted detailed reviews or identified control gaps. We love seeing real examples of how you've made a difference in previous roles.
Be Clear and Concise: When writing your application, keep it clear and concise. Use bullet points for key achievements and make sure your language is straightforward. We appreciate applications that are easy to read and get straight to the point!
Apply Through Our Website: Finally, make sure to apply through our website! It’s the best way for us to receive your application and ensures you’re considered for the role. We can’t wait to see what you bring to the table!
How to prepare for a job interview at Jobs via eFinancialCareers
✨Know Your Regulations
Familiarise yourself with the FCA regulations and internal policies relevant to the role. Being able to discuss specific rules, like COBS and SYSC, will show that you’re not just knowledgeable but also genuinely interested in compliance.
✨Showcase Your Experience
Prepare examples from your past roles where you conducted file reviews or assessments. Highlight how you identified breaches or areas for improvement, as this will demonstrate your hands-on experience and problem-solving skills.
✨Understand Client Needs
Be ready to discuss how you ensure investment advice is suitable for clients, especially vulnerable ones. Share your approach to risk profiling and fact-finding, as this shows your commitment to high-quality client outcomes.
✨Engage with Stakeholders
Think about how you’ve collaborated with other teams in previous roles. Be prepared to talk about how you’ve built relationships with Investment Managers or other stakeholders to promote compliance and good client outcomes.
