Compliance Advisory Officer

St. James's Place; Greater London; Hybrid; GBP 65,000 - 95,000; Full time

Benefits offered by this job

28 days leave + extra days

Private Medical Insurance

Pension scheme 10–15%

Enhanced Parental Leave

Protection benefits

EV salary sacrifice

Job summary

St. James's Place seeks a Compliance Advisory Officer to join the Investment Compliance team within the Risk & Compliance Division in London.

You’ll work with senior stakeholders to navigate regulatory requirements and support strong customer outcomes and risk management. This role suits an experienced compliance professional with AFM experience, strong FCA knowledge, and the ability to translate complex rules into pragmatic guidance across the business.

Qualifications

• Compliance experience in an AFM or similar investment management environment.
• Strong knowledge of FCA regulations (COLL, COBS, PROD, SYSC, PRIN, CASS, AIFMD).
• Ability to identify, assess and elevate regulatory and conduct risks.
• Experience reviewing investment and scheme documentation and delivering risk-based opinions.
• Excellent communication, with ability to translate regulatory requirements into practical guidance.
• Strong stakeholder management with the confidence to influence constructively.
• Proactive, solutions-focused approach in a fast-paced environment.

Responsibilities

• Provide regulatory advice to the business with the Head of Investment Compliance and Deputy.
• Ensure regulatory matters that risk non-compliance are managed through to closure.
• Support compliance reviews and projects, summarising findings for informed views.
• Contribute to the team’s views on complex, sometimes contentious issues.
• Maintain understanding of priority regulations (COLL, COBS, SYSC, CASS, PROD, PRIN, AIFMD).
• Carry out compliance reviews of scheme documents and fund materials, reporting findings.

Skills

AFM experience

Regulatory advisory

Stakeholder management

Regulatory compliance

Risk assessment

Communication skills

Pragmatic guidance

Job description

Are you ready to chart your own career path? With our refreshed strategy, we’re building on our rich heritage and transforming our business to be more scalable and efficient, unlocking the capabilities needed for future success. This includes significantly investing in technology, streamlining the way we work and creating an environment where colleagues feel engaged, empowered and accountable; where they can show up, speak up and perform - because we believe in the difference our work makes.

Location

London - Lombard Street Office

Workplace Type

Hybrid

Employment Type

Permanent

Seniority

Mid-Senior Level

About the role

We’re looking for a Compliance Advisory Officer to join our Investment Compliance team within the Risk & Compliance Division. In this role, you’ll work closely with senior stakeholders across the business, helping to navigate complex regulatory requirements while supporting strong customer outcomes and effective risk management.

This is an excellent opportunity for someone with compliance experience within an Authorised Fund Manager (AFM) or similar environment who wants to broaden their influence, contribute to key business initiatives, and help shape regulatory thinking across the organisation.

What you’ll be doing

• Working with the Head of Investment Compliance and the Deputy to provide sound regulatory advice and subject matter expertise to the business.
• Ensuring that matters that create a risk of non-compliant outcomes are managed through to closure.
• Support compliance reviews and projects, including reviews of SJPUTG’s compliance with applicable regulations, as deemed appropriate by the Head of Compliance. This will involve liaising with the first line and the ability to summarise findings and provide an informed view.
• Contribute to the team’s views on material complex and sometimes contentious issues.
• Maintain a core understanding of the regulatory priorities and issues, including but not limited to: COLL, COBS, SYSC, CASS, PROD, PRIN and AIFMD and other regulations pertinent to an Authorised Fund Manager.
• Carry out compliance reviews of scheme documents, IMAs and fund factsheets, ensure findings are recorded appropriately and reported back to the relevant team for action.
• Build good working relationships with operational teams across the business, not limited to SJPUTG. Engage with colleagues in other compliance teams as appropriate. Liaison with Middle Office is particularly important.
• Maintain audit trail of documents reviewed and matters raised as a result of the review.
• Support the team with oversight of breaches management, including reviewing breach logs, ensuring matters are closed on a timely basis and hosting fortnightly breach assessment meetings when the deputy is unavailable.
• Highlight and elevate gaps in business adherence to and effective application of internal policies, procedures, and regulatory requirements.
• Participate in the regular review of SJPUTG’s policies and procedures, as required by the compliance team or the business.
• Lead by example to foster a culture of compliance across SJP. Work collaboratively with Risk Teams, Compliance Monitoring, other Compliance Leaders and Regulatory engagement to provide insights and support activities.

About you

You’ll be an experienced compliance professional with a strong understanding of investment regulation and a passion for providing pragmatic regulatory advice.

Essential Criteria

• Compliance experience gained within an Authorised Fund Manager (AFM) or similar investment management environment.
• Strong knowledge of relevant FCA regulations, particularly COLL, COBS, PROD, SYSC, PRIN, CASS and AIFMD.
• The ability to identify, assess and elevate regulatory and conduct risks.
• Experience reviewing investment and scheme documentation and delivering risk-based opinions.
• Excellent communication skills, with the ability to translate complex regulatory requirements into practical guidance.
• Strong stakeholder management skills and the confidence to influence and challenge constructively.
• A proactive, solutions-focused approach and the ability to thrive in a fast-paced environment.

What’s in it for you

Whatever stage of life you’re in, our benefits are designed to provide the support, flexibility, and peace of mind you need to thrive both at work and beyond.

In addition to our discretionary annual bonus scheme, which reflects both individual and company performance, you’ll benefit from a market-leading benefits package tailored to support your wellbeing, financial security, and family life.

Our benefits include:

• 28 days' annual leave plus bank holidays, with the option to purchase up to 5 additional days.
• Private Medical Insurance – company-funded cover for you and your immediate family
• Generous Pension Scheme – a non-contributory employer contribution of 10%, increasing with length of service up to 15%, plus the opportunity to increase this through salary sacrifice
• Enhanced Parental Leave – up to 26 weeks' full pay to support growing families.
• Protection Benefits – company-funded critical illness cover, income protection, and life assurance
• EV salary sacrifice scheme through Tusker

Reasonable Adjustments

We’re an equal opportunities employer and want to ensure our recruitment process is accessible and inclusive for all, if you require reasonable adjustment(s) at any stage please let us know by emailing us at [e-mail]

Research tells us that applicants (especially those from underrepresented groups) can be put off from applying for a role if they do not meet all the criteria or have been on an extended career-break. If you think you would be a good match for this role and can demonstrate some transferable experience please apply, regardless of whether you tick every box.

As a business regulated by the FCA we would advise you to familiarise yourself with the conduct regulations and in particular consumer duty obligations prior to an interview with SJP.