Compliance Monitoring Manager – Wealth Management
Core
Deliver the firm's Compliance Monitoring Programme (CMP), conducting regular reviews, documenting findings, and driving remedial actions with the business.
Role type
Compliance Monitoring Manager
Builds
Compliance monitoring programs and regulatory reporting
Domain
Wealth & Asset Management / Financial Services
Deliverable
dashboards & analysis
Required skills
Regulatory knowledge (FCA, MiFID II, CASS, MAR, COBS), trade surveillance, transaction monitoring, client classification, appropriateness assessments, compliance reporting
Preferred skills
None stated
Technologies
None stated
Responsibilities
Conduct regular compliance reviews and drive remedial actions; Maintain and update compliance policies and controls; Provide day-to-day compliance advisory support to portfolio managers and operational teams; Support trade surveillance, transaction monitoring, and thematic reviews; Assist with client classification, appropriateness assessments, investor disclosures, and preparation of regulatory returns; Contribute to compliance reporting for senior management and committees