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Permanent

Senior Compliance Manager - Investment Suitability

Yorkshire
money-bag 70000.00-70000.00 Annual
3085436331
Posted Yesterday

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. The RoleLead 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.About YouMinimum 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 i

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