Senior Compliance Manager

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Job Description

Senior Compliance Monitoring Manager

London


An opportunity to join a growing IFA / wealth management business in a collaborative, forward-thinking environment. The role focuses on leading compliance monitoring activity and ensuring regulatory risks are effectively managed.


Key Responsibilities

  • Lead and oversee compliance monitoring and risk management activities
  • Develop and maintain a strong understanding of the regulatory environment
  • Design and implement monitoring programmes and risk assessments
  • Conduct regular reviews to identify non-compliance and improvement areas
  • Ensure policies, procedures, and controls meet regulatory requirements
  • Identify and challenge compliance risks across the business
  • Produce and present reports to senior stakeholders and committees


Skills & Experience

  • Extensive experience in a compliance monitoring role within a regulated environment
  • Strong knowledge of relevant regulatory frameworks (e.g. FCA)
  • Ability to advise and influence senior stakeholders
  • Experience delivering training and supporting staff

Apply
Location:
London
Job Type:
FullTime
Category:
Business

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