At a Glance
- Tasks: Conduct compliance monitoring reviews and ensure adherence to regulatory standards.
- Company: Join Succession Wealth, a leading UK Financial Advisory firm with a collaborative culture.
- Benefits: Enjoy a competitive salary, annual pay reviews, and generous annual leave.
- Other info: Opportunity for career growth in a dynamic and supportive workplace.
- Why this job: Make a real impact in a fast-paced, highly regulated environment while promoting compliance culture.
- Qualifications: Experience in compliance monitoring and strong knowledge of FCA regulations required.
The predicted salary is between 50000 - 65000 € per year.
Hybrid from any of Succession’s UK locations. Highly competitive basic salary + excellent benefits package. Succession Wealth are one of the UK’s leading Financial Advisory firms, wholly owned subsidiary of Aviva. Our Wealth Advisors and support teams provide a high quality, holistic financial advice service, helping clients from all walks of life to achieve their financial goals.
Now is an exciting and transformative time for us here at Succession as we prepare our business for a phase of planned strategic growth. Across the organization, teams are working on projects to transform processes and put in place structures that will support our growth strategy.
The Opportunity: We’re looking for a highly skilled Compliance Monitoring Manager to join our Risk and Compliance function and play a key role in delivering high‑quality, risk‑based compliance monitoring across the business. In this pivotal role, you will provide independent assurance that the organisation is operating within regulatory requirements, internal policies, and expected standards of conduct. You’ll plan and conduct detailed monitoring reviews, analyse findings, produce clear and insightful reports, and work closely with stakeholders to drive meaningful improvements.
If you’re analytical, confident engaging at all levels, and passionate about promoting a strong compliance culture, this is an excellent opportunity to make a real impact in a fast‑moving and highly regulated environment.
What You’ll Be Doing:
- Conducting risk‑based monitoring reviews in line with the annual Compliance Monitoring Plan.
- Leading recurring reviews as part of the regular schedule of assurance activity.
- Developing detailed scopes, test plans, and workpapers aligned to regulatory expectations and business risks.
- Performing structured, evidence‑based testing with a clear audit trail.
- Identifying regulatory, conduct, operational or policy breaches, assessing their impact and significance.
- Producing high‑quality, clear and concise monitoring reports.
- Presenting findings to management, ensuring actions and risks are fully understood.
- Tracking and following up on remediation actions to ensure timely and effective completion.
- Supporting MI production and contributing to reporting for governance forums.
- Building effective working relationships across the business, including senior stakeholders.
- Communicating expectations clearly and maintaining professional dialogue with stakeholders.
- Acting as a trusted adviser and champion of good compliance practice.
You:
- Experience in compliance monitoring, internal audit, or similar assurance roles.
- Strong working knowledge of the FCA regulatory framework.
- In‑depth understanding of compliance monitoring methodologies, including risk‑based approaches and testing techniques.
- Skilled in report writing, with the ability to articulate complex findings clearly.
- Strong analytical and investigative mindset.
- Confident communicator able to challenge constructively and engage at all levels.
- Resilient, adaptable, and comfortable working under pressure.
What You Can Expect From Us:
- Competitive basic salary, annual pay reviews and performance linked increases.
- 25 days Annual leave increasing with service.
Compliance Monitoring Manager in London employer: Succession Wealth
At Succession Wealth, we pride ourselves on being a leading Financial Advisory firm that values our employees and fosters a collaborative work culture. With a hybrid working model across various UK locations, we offer a highly competitive salary and an excellent benefits package, alongside ample opportunities for professional growth and development. Join us during this exciting phase of strategic growth, where your contributions as a Compliance Monitoring Manager will directly impact our commitment to delivering high-quality financial advice and maintaining a strong compliance culture.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Monitoring Manager in London
✨Tip Number 1
Network like a pro! Reach out to your connections in the finance and compliance sectors. Attend industry events or webinars, and don’t be shy about introducing yourself. You never know who might have the inside scoop on job openings at Succession!
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of the FCA regulatory framework. Be ready to discuss how your experience aligns with the role of Compliance Monitoring Manager. We want to see your analytical skills in action, so think of examples that showcase your problem-solving abilities.
✨Tip Number 3
Showcase your communication skills! During interviews, practice articulating complex compliance concepts clearly. Remember, you’ll need to present findings to management, so demonstrating your ability to communicate effectively is key to landing the job.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, it shows you’re genuinely interested in joining our team at Succession. Let’s make this happen together!
We think you need these skills to ace Compliance Monitoring Manager in London
Some tips for your application 🫡
Tailor Your CV:Make sure your CV is tailored to the Compliance Monitoring Manager role. Highlight your experience in compliance monitoring and any relevant skills that match the job description. We want to see how you can bring value to our team!
Craft a Compelling Cover Letter:Your cover letter is your chance to shine! Use it to explain why you're passionate about compliance and how your background makes you a perfect fit for us. Keep it concise but engaging – we love a good story!
Showcase Your Analytical Skills:Since this role requires a strong analytical mindset, make sure to include examples of how you've used these skills in past roles. We’re looking for someone who can dig deep and provide insights, so don’t hold back!
Apply Through Our Website:We encourage you to apply through our website for a smoother application process. It’s the best way for us to receive your application and ensures you don’t miss out on any important updates from our team!
How to prepare for a job interview at Succession Wealth
✨Know Your Compliance Stuff
Make sure you brush up on the FCA regulatory framework and compliance monitoring methodologies. Be ready to discuss how your experience aligns with these areas, as it shows you're not just familiar but also passionate about compliance.
✨Prepare for Scenario Questions
Expect questions that ask you to demonstrate your analytical and investigative skills. Think of specific examples from your past roles where you identified breaches or improved compliance processes, and be ready to explain your thought process.
✨Showcase Your Communication Skills
As a Compliance Monitoring Manager, you'll need to engage with stakeholders at all levels. Practice articulating complex findings clearly and concisely, as this will be crucial in your role. Consider doing mock interviews to refine your delivery.
✨Build Rapport with Interviewers
Remember, it's not just about answering questions; it's about building relationships. Show your personality and engage in a professional dialogue. This will help you come across as a trusted adviser, which is key for the role.
