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Our client, a reputable Investment and Wealth Management firm are recruiting for a Risk & Compliance Manager on an 18-month FTC. The role supports the Head of Risk & Compliance, focusing on regulatory oversight, risk management, and compliance assurance activities. This varied role is an excellent opportunity to gain broad compliance exposure across the Investment management arena.
? Key Responsibilities Overview:
- Compliance Monitoring: Conduct client file checks, monitor communications, and provide input into the Compliance Monitoring Programme.
- Regulatory Oversight: Prepare Management Information (MI), assist with FCA reporting, and conduct due diligence.
- Advisory Support: Respond to compliance-related queries in investment management and financial advice.
- Governance & Risk: Maintain risk registers, liaise with risk champions, and oversee registers including PAD, conflicts, and complaints.
- Technical Compliance: Perform trade and transaction monitoring and assist with T&C scheme oversight.
- Policy & Audit: Maintain policies and support internal/external audits.
Ideal Candidate Profile:
- A detail-oriented and analytical compliance professional with the ability to work autonomously.
- Experience managing compliance monitoring frameworks and interpreting regulatory requirements.
- Effective communicator, able to influence at all levels and collaborate across functions.
- Comfortable with regulatory reporting, risk registers, and audit support.
- Motivated by ethical finance and working for a values-led, employee-owned organisation.
Requirements:
- Sector-specific compliance experience: Ideally in wealth/investment management
- Understanding of Consumer Duty: And ability to translate monitoring results into improvement actions.
- Qualifications: Level 4 CISI, CFA, or equivalent compliance certification.
