Senior Compliance Manager-Investment Suitability

MERJE are delighted to be supporting a long standing and highly respectable firm who operate within the wealth management, financial planning and investment sector as they seek to strengthen their compliance function with the addition of an experienced Senior Compliance Manager to elevate the firm’s approach to regulatory assurance, oversight and investment suitability
.

Reporting to the Head of Regulation the Senior Compliance Manager plays a pivotal role within the business to ensure effective oversight and management of compliance risks. The role provides independent oversight of the Compliance Risks across the organisation and ensures the business adheres to regulatory requirements, internal policies and industry standards.

• Lead and develop a small team
  , fostering a proactive and positive compliance culture.
• Design 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 testing and follow-up actions.
• Produce clear, insightful reports for senior management and the board, highlighting key risks and recommendations.
• Collaborate across Risk, Compliance, and Operations to strengthen the control environment and enhance regulatory resilience.

• Minimum CISI or CII Level 4 qualification (Level 6 in progress desirable).
• At least 5 years’ experience in compliance or assurance within financial services or another regulated environment to include knowledge of investment suitability.
• Strong stakeholder management, communication, and analytical skills
  .
• Proven experience delivering monitoring or thematic review activities in line with FCA standards.
• Team leadership or supervisory experience
  , ideally with a small team of 3–7 professionals.

This is an exciting managerial role with ownership of the compliance monitoring function in a highly regarded financial services firm. You’ll have business-wide visibility and genuine scope to influence and enhance the firm’s risk culture
, shaping both processes and behaviours.

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