Compliance Monitoring Officer - #1698603

Compliance Monitoring Specialist

An established, UK-based investment management and stockbroking firm is seeking a Compliance Monitoring Specialist to strengthen its second line of defence. This role is ideal for a compliance professional with a solid grasp of FCA regulation and a keen interest in investment services, discretionary portfolio management, and client-focused outcomes.

About the Firm

With a rich heritage in wealth management, our client offers a comprehensive range of services including discretionary and advisory portfolio management, execution-only dealing, and tax-efficient investment solutions such as ISAs and SIPPs. Operating across multiple branches, the firm supports private clients, trusts, charities, and corporate entities—combining traditional client service values with modern investment strategies.

Key Responsibilities

Monitoring & Audit Activities:

• Execute regular, risk-based compliance monitoring reviews across the firm’s investment operations, ensuring alignment with FCA rules—particularly COBS, SYSC, and Consumer Duty.


• Assist in developing and refining the compliance monitoring programme to reflect the evolving regulatory landscape and firm strategy.


• Assess the effectiveness of controls in areas such as suitability, best execution, client communications, order handling, and conflicts of interest.


• Highlight weaknesses or potential breaches in procedures or conduct and propose proportionate, risk-aware corrective actions.


• Work collaboratively with front-office and support functions to address issues and embed sustainable compliance practices.


• Produce clear and concise reports for senior management and compliance committees.


• Contribute to themed reviews evaluating customer outcomes, focusing on discretionary and advisory services.

Reporting & Documentation:

• Prepare detailed compliance reports for internal governance forums and, where necessary, regulatory authorities.


• Maintain accurate and auditable records of all monitoring activities.

Collaboration & Advisory:

• Provide day-to-day compliance advice across business units, offering practical guidance grounded in regulatory expectations and industry best practice.


• Support delivery of training initiatives that promote compliance awareness and ethical conduct across investment and operational teams.


• Help reinforce a culture of compliance and client-first decision-making throughout the firm.

Candidate Profile

• Strong knowledge of FCA regulatory requirements, especially those relevant to investment firms (e.g., COBS, SYSC, PROD, Consumer Duty).


• Experience in a compliance monitoring or audit role within an investment management, wealth management, or stockbroking firm.


• Familiarity with investment products, client categorisation, suitability assessments, and discretionary/advisory processes.


• Exceptional analytical and communication skills—able to translate technical regulations into actionable business insight.


• Professional integrity and a strong sense of accountability.


• Industry qualifications (e.g., CISI Diploma in Investment Compliance or equivalent) are advantageous but not essential.

This is an exciting opportunity to join a respected firm with a long-standing reputation for excellence in investment services. If you're a compliance specialist ready to make a tangible impact in a client-centric environment, we welcome your application.