Compliance Monitoring Officer

Compliance Monitoring Officer - Investment Advice Suitability ReviewsLondon / Leeds Hybrid£60,000 + Benefits

We are seeking an experienced Compliance Monitoring professional with a strong background in Investment Advice Suitability Reviews to join a well-established wealth and investment management business.

This is a second-line compliance role focused on reviewing the suitability and appropriiateness of investment advice, discretionary portfolio management activity, and client outcomes across a regulated investment environment.

The successful candidate will work closely with Investment Managers, Portfolio Managers, and senior stakeholders to ensure FCA standards, Consumer Duty obligations, and internal suitability frameworks are consistently met.

Key Responsibilities

• Conduct detailed second-line suitability reviews across investment advice and discretionary portfolio management activities• Review client fact finds, risk profiling, attitude to risk assessments, capacity for loss, suitability reports, and investment rationale• Assess the appropriateness of portfolio construction, asset allocation, and investment recommendations• Identify conduct, suitability, and regulatory risks across wealth management and stockbroking activities• Produce high-quality monitoring reports with clear findings and remedial recommendations• Contribute to thematic reviews and risk-based compliance monitoring activity• Engage constructively with Investment Managers and Portfolio Managers, providing robust challenge where required• Support ongoing enhancement of the compliance monitoring framework in line with FCA expectations and Consumer Duty requirements

Requirements

• Level 4 Investment Advice Diploma (IAD) or equivalent investment-focused qualification is essential• Strong preference for CISI qualifications or qualifications with significant securities and investment advice content• Candidates holding only generic compliance qualifications (e.g. standalone ICA) are unlikely to meet the required criteria• At least 3 years' experience within Compliance Monitoring, QA, File Review, or Audit within:

• Wealth Management
• Investment Management
• Stockbroking
• Discretionary Investment Management environments

Essential Experience

• Investment Advice Suitability Reviews• Reviewing discretionary portfolio management activity• FCA COBS knowledge, particularly suitability and appropriateness requirements• Consumer Duty and client outcome assessments• Risk-based compliance monitoring methodologies• Challenging advisers and investment professionals constructively

Ideal Background

We are particularly interested in candidates who have operated within:• Wealth Management firms• Private Client Investment Management• Discretionary Fund Management• Stockbroking environments

You will be a detail-oriented and commercially aware compliance professional with strong written reporting skills and the confidence to engage with senior investment stakeholders.

London-based candidates are encouraged to apply.

Applicants must be located and eligible to work in the UK without sponsorship.

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