Compliance Monitoring Officer

Compliance Monitoring Officer - Investment Advice Suitability ReviewsLondon / Leeds Hybrid£60,000 + BenefitsWe 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 ..... full job details .....