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)

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.

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