Compliance Manager – Compliance Monitoring & Thematic Reviews (6 Month FTC)

Location: London or Southampton, United Kingdom

Company

Wealth management business providing financial advice, investment platforms, multi-asset investment solutions, and discretionary fund management across the UK, Ireland, and Channel Islands.

What you will do

• Deliver compliance monitoring, surveillance, oversight, and assurance activities across the Affluent segment and, where required, the high-net-worth business.
• Lead and execute thematic reviews by interpreting regulatory requirements, designing testing programmes, assessing compliance, and reporting findings.
• Own assigned reviews as lead or supporting reviewer, ensuring delivery to agreed timelines and quality standards.
• Perform reviews covering personal account dealing, gifts and hospitality, complaints, investment surveillance, and other key risk areas.
• Track management actions through completion, escalate overdue actions, and produce clear documentation with practical recommendations.
• Maintain stakeholder relationships across the first, second, and third lines of defence and contribute to improving the compliance monitoring framework.

Requirements

• Experience in compliance monitoring, assurance, or auditing within financial services, preferably investments and financial advice.
• Good understanding of risk and regulation, particularly FCA requirements.
• Strong planning, analytical, written, verbal communication, and influencing skills.
• Ability to work independently and collaboratively with strong attention to detail and commercial perspective.
• Resilience and perseverance when completing reviews on time and handling objections or challenging conversations.

Culture & Benefits

• Full-time employment on a six-month fixed-term contract.
• 26 days of holiday, equivalent to 182 hours.
• Non-contributory pension scheme with the option for additional personal contributions.
• Private medical insurance, life assurance at four times salary, and income protection covering 75% of salary after 26 weeks of absence.
• Employee incentive scheme and flexible benefits for UK employees.
• Inclusive culture focused on integrity, curiosity, constructive challenge, collaboration, and equal opportunity.