Compliance Monitoring Manager |

Compliance Monitoring Manager

London

Must have previous Investment Management experience to be considered.

A Compliance Monitoring Manager role at a leading Investment Manager focuses on ensuring that the firm's compliance controls and processes operate effectively within a strong regulatory framework. Key responsibilities include implementing and maintaining a risk-based Compliance Monitoring Programme, conducting formal compliance reviews (thematic, risk-based, and transactional), and testing controls to identify weaknesses or gaps. This role delivers independent assurance on adherence to investment compliance obligations, regulatory requirements, and internal policies. It supports governance by reporting monitoring results to senior management and boards, escalating breaches or control deficiencies, and following up on agreed action plans to mitigate compliance risks.

The Role

• Lead the Compliance Risk Assessment (CoRA) process, ensuring it reflects current and emerging risks in investment management.
• Design and implement a robust, risk-based Compliance Monitoring, Thematic, and Third-Party Oversight Program tailored to investment management and regulatory requirements.
• Oversee remediation—root cause analysis, action plans, and closure verification—addressing compliance risks across investment products and processes.
• Collaborate with senior leaders and portfolio managers, providing clear guidance and challenge to enhance controls and compliance culture.
• Build, inspire, and manage a high-performing Compliance Monitoring Team, encouraging growth, accountability, and continuous improvement.
• Produce insightful, concise reports for executives and committees on monitoring findings, thematics, and action progress.
• Safeguard and optimize all team data and records for compliance, accessibility, and regulatory readiness.
• Keep pace with FCA regulation, Consumer Duty, and market trends in investment management, proactively evolving compliance programs.
• Maintain best-practice documentation and methodologies, ensuring robust and reliable compliance monitoring.
• Be a key contributor in Compliance, Risk Management, and Investment Oversight Committees.
• Support the business, Head of Compliance, and Chief Risk & Compliance Officer with due diligence, assurance, and critical compliance projects.

What We're Looking For

• Professional compliance qualification (e.g. ICA, CISI, or equivalent) or willingness to obtain one.
• Deep knowledge of the FCA Handbook, Consumer Duty, and investment management regulations.
• Extensive senior compliance monitoring or assurance experience within an FCA-regulated investment management firm.
• Sound understanding of financial markets, investment products, and portfolio management.
• Proven ability to lead risk-based compliance monitoring programs.
• Strong report writing, analytical, and communication skills, with the confidence to influence at executive and portfolio management level.
• Demonstrated ability to lead, motivate, and develop high-performing teams in investment compliance.
• Data analytics experience in compliance monitoring is highly advantageous.