Risk & Compliance Manager

Summary: The Risk & Compliance Manager role at a reputable Investment and Wealth Management firm involves supporting the Head of Risk & Compliance with regulatory oversight, risk management, and compliance assurance activities over an 18-month fixed-term contract. The position offers a diverse range of compliance exposure within the investment management sector, focusing on compliance monitoring, regulatory reporting, and governance. The ideal candidate will possess strong analytical skills and experience in managing compliance frameworks while being motivated by ethical finance.

Key Responsibilities:

• Conduct client file checks, monitor communications, and provide input into the Compliance Monitoring Programme.
• Prepare Management Information (MI), assist with FCA reporting, and conduct due diligence.
• Respond to compliance-related queries in investment management and financial advice.
• Maintain risk registers, liaise with risk champions, and oversee registers including PAD, conflicts, and complaints.
• Perform trade and transaction monitoring and assist with T&C scheme oversight.
• Maintain policies and support internal/external audits.

Key Skills:

• Detail-oriented and analytical compliance professional.
• Experience managing compliance monitoring frameworks and interpreting regulatory requirements.
• Effective communicator, able to influence at all levels and collaborate across functions.
• Comfortable with regulatory reporting, risk registers, and audit support.
• Sector-specific compliance experience in wealth/investment management.
• Understanding of Consumer Duty and ability to translate monitoring results into improvement actions.
• Qualifications: Level 4 CISI, CFA, or equivalent compliance certification.

Salary (Rate): £50,000

City: Manchester

Country: United Kingdom

Working Arrangements: undetermined

IR35 Status: undetermined

Seniority Level: undetermined

Industry: Finance