Compliance Manager

MERJE; Manchester; On-site; GBP 50,000 - 70,000; Full time

Job summary

A reputable Investment and Wealth Management firm is seeking a Risk & Compliance Manager for an 18-month FTC. This role supports the Head of Risk & Compliance, focusing on regulatory oversight, risk management, and compliance assurance activities. Ideal candidates will have compliance experience in investment management and relevant certifications.

Qualifications

• Experience managing compliance monitoring frameworks.
• Ability to work autonomously and influence at all levels.

Responsibilities

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

Skills

Detail-oriented

Analytical

Effective communicator

Education

Level 4 CISI

CFA

Job description

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Full Job Description

Our client, a reputable Investment and Wealth Management firm arerecruiting for a Risk & Compliance Manager on an 18-month FTC. Therole supports the Head of Risk & Compliance, focusing on regulatoryoversight, risk management, and compliance assurance activities. Thisvaried role is an excellent opportunity to gain broad complianceexposure across the Investment management arena.

• Compliance Monitoring: Conduct client file checks, monitorcommunications, and provide input into the Compliance MonitoringProgramme.
• Regulatory Oversight: Prepare ManagementInformation (MI), assist with FCA reporting, and conduct duediligence.
• Advisory Support: Respond to compliance-relatedqueries in investment management and financial advice.
• Governance & Risk: Maintain risk registers, liaise with riskchampions, and oversee registers including PAD, conflicts, andcomplaints.
• Technical Compliance: Perform trade andtransaction monitoring and assist with T&C scheme oversight.
• Policy & Audit: Maintain policies and supportinternal/external audits.

Ideal Candidate Profile:

• A detail-oriented and analyticalcompliance professional with the ability to work autonomously.
• Experience managing compliance monitoring frameworks andinterpreting regulatory requirements.
• Effective communicator,able to influence at all levels and collaborate across functions.
• Comfortable with regulatory reporting, risk registers, andaudit support.
• Motivated by ethical finance and working for avalues-led, employee-owned organisation.

Requirements:

• Sector-specific compliance experience:Especially in wealth/investment management
• Understanding ofConsumer Duty: And ability to translate monitoring results intoimprovement actions.
• Qualifications: Level 4 CISI, CFA, orequivalent compliance certification.