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Regulatory Monitoring Manager – Wealth/Financial Planning

  • Location: London
  • Salary: £60,000 - £65,000 + Benefits per year
  • Job Type:Permanent

Posted about 1 year ago


Our client provides tailored end-to-end Wealth and Financial Management services for private and corporate clients. With over 20 offices and more than 600 staff nationwide, they are one of the fastest growing Wealth Planning brands in the UK. Due to continued growth they are looking to appoint a new Compliance Monitoring Manager to join their established UK team.


The Role


Undertaking a high level of autonomy and being predominantly field-based, you will be responsible for establishing and maintaining the firm’s compliance monitoring plans by undertaking reviews in accordance with those plans.


  • Develop appropriate Compliance Monitoring methodologies, procedures and templates.
  • Prepare the annual risk-based Compliance Monitoring plan.
  • Undertake monitoring reviews in accordance with the plan, ensuring timely delivery, and preparing clear and concise reports highlighting key findings.
  • Establish collaborative working relationships with line management across the business to ensure the effective conduct of reviews and to discuss findings, agree actions to mitigate or avoid risks outside the Group’s risk appetite.
  • Undertake desk-based monitoring including analysis and assessment of control data - report on findings, agree mitigating actions, etc.
  • Where appropriate, and as agreed in conjunction with the CRO, provide assistance to the business with ensuring that proposed controls are sufficient to meet risk appetite and legal and regulatory requirements.
  • Prepare regular reporting for the CRO on progress against the monitoring plan, key findings from reviews and the status of management actions to address findings.


Key Requirements


  • Experienced Monitoring specialist with 3-5 years of relevant Compliance Monitoring experience specifically across the Wealth Management or Financial Planning space.
  • Strong understanding of FCA requirements in respect of a Wealth firm
  • Able to work well independently with little supervision as well as working as part of the wider R&C team
  • Adept at managing competing priorities in a fast-paced environment with excellent time management and organisation skills.
  • Strong inter-personnel skills and skilled at communicating assurance, compliance and regulatory concepts and issues clearly and succinctly to key stakeholders, both verbally and in writing.
  • Comfortable traveling/operating in a field-based Compliance oversight role