Compliance Monitoring Manager in West Yorkshire

Energy Jobline ZR; England; Hybrid; GBP 65,000 - 75,000; Full time

Job summary

A respected wealth and investment management firm is seeking a Compliance Monitoring Manager to lead its compliance function and enhance regulatory assurance. This role involves developing a risk-based monitoring plan, delivering oversight, and producing reports for senior management. Ideal candidates will have a CISI or CII Level 4 qualification, at least 5 years of relevant experience, and strong analytical and communication skills.

Qualifications

• Minimum CISI or CII Level 4 qualification, ideally working towards Level 6.
• At least 5 years’ experience in compliance or assurance within financial services.
• Proven experience delivering monitoring or thematic review activity in line with FCA standards.

Responsibilities

• Develop and implement a risk-based monitoring plan aligned with the firm’s risk appetite.
• Deliver second-line oversight and thematic reviews, ensuring timely completion of testing.
• Produce clear, insightful reports for senior management and the board.

Skills

Strong stakeholder management

Communication skills

Analytical skills

Team leadership

Education

CISI or CII Level 4 qualification

Job description

Hybrid - 3 days office

Salary c.£65,000 - £75,000

An established and highly respected Wealth and Investment management firm is seeking a Compliance Monitoring Manager to lead its monitoring function and enhance the firm’s approach to regulatory assurance and oversight.

This is a key second-line role, responsible for delivering a risk-based compliance monitoring plan, conducting thematic reviews, and ensuring regulatory requirements and internal standards are met across the business.

The Role

• Develop and implement a risk-based monitoring plan aligned with the firm’s risk appetite and FCA expectations.
• Deliver second-line oversight and thematic reviews, ensuring timely completion of testing and follow-up actions.
• Produce clear, insightful reports for senior management and the board, highlighting key risks and recommendations.
• Collaborate with internal stakeholders across Risk, Compliance, and Operations to strengthen the control environment.
• Lead and develop a small team, promoting a proactive and positive compliance culture.

About You

• Minimum CISI or CII Level 4 qualification (ideally working towards Level 6).
• At least 5 years’ experience in compliance or assurance within financial services or another regulated environment.
• Strong stakeholder management, communication, and analytical skills.
• Proven experience delivering monitoring or thematic review activity in line with FCA standards.
• Team leadership or supervisory experience.

The Opportunity

This is a fantastic opportunity to take ownership of the compliance monitoring function within a respected financial services firm, where you’ll have visibility across the business and genuine scope to influence and improve risk culture.

If you’re an experienced compliance professional seeking a leadership role within a collaborative and values-led organisation, we’d love to hear from you.

If you are interested in applying for this job please press the Apply Button and follow the application process.