At a Glance
- Tasks: Lead compliance assurance and mentor a high-performing team in a dynamic environment.
- Company: Join a leading Wealth Management firm with a collaborative and forward-thinking culture.
- Benefits: Hybrid work model, competitive salary, and opportunities for professional growth.
- Other info: Excellent opportunity for career advancement in a supportive team.
- Why this job: Take ownership of compliance frameworks and make a real impact in the financial services sector.
- Qualifications: 5+ years in Compliance, Risk or Audit with strong knowledge of FCA regulations.
The predicted salary is between 70000 - 90000 £ per year.
We’re partnering with a leading Wealth Management firm to hire an experienced Compliance Monitoring Manager to join their growing second line function. This is an excellent opportunity for an experienced compliance professional looking to take ownership of a compliance assurance framework while leading a high-performing team in a collaborative, forward-thinking business.
Key responsibilities include:
- Leading the Compliance Assurance Programme and owning the Compliance Universe
- Delivering risk-based compliance reviews and presenting findings to senior stakeholders
- Providing independent second line oversight and constructive challenge across the business
- Leading and mentoring a Compliance Assurance team
- Monitoring FCA regulatory requirements, including Consumer Duty, SM&CR and wider compliance obligations
- Tracking key risk indicators, identifying emerging risks and driving improvements to control frameworks
- Supporting regulatory change initiatives and promoting a strong risk and compliance culture
Requirements:
- 5+ years experience in Compliance, Risk or Audit within Financial Services
- Strong 2LOD experience within Wealth Management, Financial Planning or a large IFA environment
- Excellent knowledge of FCA regulations, Consumer Duty and SM&CR
- Previous leadership or line management experience
- Strong stakeholder management and reporting skills
Hybrid – Multiple office locations across Southern England & London (3 days in office). Please apply or reach out directly for a confidential discussion.
Compliance Monitoring Manager in London employer: Rev & Regs
Rev & Regs is an exceptional employer, offering a dynamic work environment in the heart of the City of London. With a strong focus on employee growth and development, we provide comprehensive training and support for our team members, ensuring they stay at the forefront of tax compliance and operational excellence. Our hybrid working model promotes a healthy work-life balance, while our commitment to innovation and collaboration fosters a culture where every voice is valued and impactful.
