Compliance Manager

Lutine Bell; Greater London; On-site; GBP 60,000 - 80,000; Full time

Job summary

A leading investment management firm in Greater London is looking for a skilled Compliance Manager to oversee regulatory standards and manage compliance risks. This role involves supporting the Head of Compliance and providing essential governance across the business. The ideal candidate will have experience in compliance management and a solid understanding of financial regulations. Strong leadership abilities and the capacity to mentor junior team members are essential for this position.

Qualifications

• Experience in compliance management within the financial services sector.
• Strong understanding of regulatory frameworks and governance.
• Ability to lead and mentor a team of compliance professionals.

Responsibilities

• Support the Head of Compliance in maintaining regulatory standards.
• Manage the Senior Managers & Certification Regime (SMCR).
• Respond to compliance-related queries from clients.

Job description

Job Description

We are supporting a well-established client in the investment management space in onboarding a Compliance Manager. This pivotal role reports into the Head of Compliance and provides essential support in maintaining regulatory standards, managing risk, and promoting strong governance across the business. The successful candidate will also act as deputy to the Head of Compliance when required.

Key Responsibilities

• Step in for the Head of Compliance as needed, attending key meetings, committees, and guiding junior Compliance team members.
• Ensure business initiatives and projects are executed in line with regulatory and internal compliance standards.
• Handle ad‑hoc compliance matters and tasks as assigned.
• Support the management of the Senior Managers & Certification Regime (SMCR), including :
• Identifying staff in senior or certification roles and ensuring regulatory registration or notification.
• Maintaining and updating statements of responsibilities for senior roles.
• Coordinating annual certification renewals for relevant personnel.
• Reviewing and updating internal SMCR policies and procedures.
• Respond promptly to compliance‑related queries from the business and clients.
• Investigate complaints and prepare regulatory‑compliant responses.

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