Compliance Monitoring Lead

We're looking for an experienced Compliance Monitoring Lead to join a growing national financial services firm. You'll be responsible for leading the firm's compliance monitoring function - ensuring all business activities meet regulatory expectations while supporting commercial objectives. The role involves designing, delivering, and overseeing a robust compliance monitoring framework, conducting thematic reviews, and providing assurance to senior leadership.

Role & Responsibilities:

• Develop and implement a comprehensive compliance monitoring plan aligned to business and regulatory priorities.
• Carry out in-depth monitoring reviews to assess adherence to FCA and internal policy requirements.
• Provide clear, practical recommendations to address findings and track completion of remedial actions.
• Support strategic initiatives and acquisitions, ensuring compliance oversight is embedded from the outset.
• Prepare high-quality reports and present findings to senior management and relevant committees.
• Maintain strong awareness of evolving regulation and assess their impact on the business.
• Build strong relationships across the business to promote a culture of accountability, transparency, and good governance.
• Act as a trusted adviser to management, offering challenge and guidance on emerging compliance risks.

Do you have the following to apply?

• Extensive experience in a compliance monitoring or oversight role within financial services - ideally in wealth management, investment advice, or the IFA sector.
• Sound knowledge of FCA regulations and a proven ability to interpret and apply them in a practical, business-friendly manner.

Due to the high volume of applications received we are unable to respond to everyone directly. If you are not contacted within 7 working days, you have unfortunately not been shortlisted.

Clayton Davies is acting as an employment agency on behalf of our client.