Compliance Advisory Manager (Wealth)

Broadgate; Greater London; On-site; GBP 50,000 - 70,000; Full time

Job summary

Broadgate is seeking a compliance specialist with a strong knowledge of the UK regulatory landscape, particularly AFM and COLL frameworks. Responsibilities include producing regulatory summary reports, managing team inboxes, and maintaining audit-ready documentation.

The ideal candidate will have hands-on experience with fund documentation and scheme changes, as well as a collaborative approach to support senior stakeholders effectively.

The role demands a proactive individual who communicates openly and takes ownership of tasks while maintaining composure under pressure.

Skills

Knowledge of UK regulatory landscape

Regulatory summary reporting

Compliance initiatives contribution

Team inbox management

Audit-ready documentation

Reviewing scheme changes documentation

Fund documentation oversight

Team collaboration

Proactive communication

Ability to work under pressure

Job description

• Strong working knowledge of the UK regulatory landscape, with particular exposure to AFM and COLL frameworks
• Confident producing clear, concise regulatory summary reports and presenting findings to key stakeholders
• Experience contributing to compliance initiatives, projects and thematic reviews — including flowcharts, gap analysis and deep-dive work
• Proven ability to manage a shared team inbox, ensuring timely triage and that nothing falls through the cracks
• Diligent approach to maintaining compliance filing systems and ensuring documentation is always audit-ready
• Experience reviewing scheme changes and associated documentation, including prospectuses and Investment Management Agreements
• Hands-on oversight of fund documentation including fact sheets and KIID reviews
• A collaborative team player who can flex to support senior stakeholders as regulatory priorities evolve
• Proactive, accountable and composed under pressure — someone who takes ownership, communicates openly and gets things done