Compliance Manager

JR United Kingdom; Bolton; On-site; GBP 45,000 - 65,000; Full time

Job summary

A leading investment and wealth management firm in Bolton seeks a Compliance Manager. This 18-month FTC role involves overseeing regulatory compliance and risk management activities. The successful candidate will have a sector-specific compliance background and contribute to enhancing compliance frameworks while working for an ethics-driven, employee-owned company.

Qualifications

• Detail-oriented and analytical compliance professional.
• Experience managing compliance monitoring frameworks.
• Comfortable with regulatory reporting and audit support.

Responsibilities

• Conduct client file checks and monitor communications.
• Prepare Management Information and assist with FCA reporting.
• Maintain risk registers and assist with internal/external audits.

Skills

Analytical skills

Compliance monitoring

Effective communication

Risk management

Education

Level 4 CISI

CFA or equivalent compliance certification

Job description

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Compliance Manager, bolton, greater manchester

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Client:

MERJE

Location:

bolton, greater manchester, United Kingdom

Job Category:

Other

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EU work permit required:

Yes

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Job Views:

1

Posted:

31.05.2025

Expiry Date:

15.07.2025

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Job Description:

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.

• 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: Especially 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.