Meraki Talent are working with an established and respected wealth and investment management firm who are seeking several experienced Compliance Monitoring Officers to join its second-line compliance function.

These roles are responsible for conducting file reviews and thematic assessments across the firm’s investment management and advisory services, ensuring high-quality client outcomes and adherence to FCA regulations.

As a Compliance Monitoring Officer, you will carry out detailed second-line reviews of investment advice and portfolio management activities. Your work will help ensure that services are delivered in line with regulatory requirements, internal policies, and best practice standards, with a strong focus on suitability, Consumer Duty obligations, and the identification of conduct risks.

You will provide constructive challenge to investment professionals, contribute to the enhancement of the compliance monitoring programme, and help maintain ...