Investment Compliance Manager

Jobtailor; Horsham; On-site; GBP 55,000 - 75,000; Full time

Job summary

Jobtailor in Horsham, United Kingdom is seeking an experienced Investment Compliance professional to design and oversee a risk-based oversight framework and provide second-line governance.

You will monitor regulatory compliance across investment operations and deliver management information for senior committees and stakeholders.

The role requires strong analytical skills, stakeholder management and the ability to challenge constructs while maintaining strong business relationships.

Qualifications

• A Level 4 Diploma or equivalent qualification in financial planning, investments or compliance.
• Strong knowledge of FCA regulations relating to investments, MPS, Consumer Duty, COBS, MiFID II and product governance
• Experience operating compliance monitoring programmes or second-line oversight functions
• Understanding investment governance, portfolio management and adviser distribution models
• Experience producing high-quality compliance reports and board-level management information
• Excellent analytical, communication and stakeholder management skills
• The confidence to provide constructive challenge while building effective working relationships across the business
• Strong organisational skills and the ability to manage multiple priorities in a fast-paced environment

Responsibilities

• Design and maintain a risk-based Investment Compliance Oversight Framework
• Provide second-line oversight of investment governance, portfolio management controls and product governance arrangements
• Deliver compliance monitoring and assurance activity across investment operations and governance processes
• Assess and report on regulatory risks, client outcomes and control effectiveness
• Monitor compliance with FCA requirements, Consumer Duty, COBS, MiFID II and product governance requirements
• Produce management information, governance papers and regulatory reports for senior stakeholders and committees
• Support the development and enhancement of investment-related policies, procedures and controls
• Provide effective challenge and guidance to business stakeholders on regulatory and conduct matters
• Identify emerging risks, breaches, trends and control weaknesses, ensuring appropriate escalation and remediation
• Support regulatory change initiatives, thematic reviews and investment compliance projects

Skills

Analytical Skills

Communication Skills

Organizational Skills

Stakeholder Management

Regulatory Awareness

Education

Level 4 Diploma in Financial Planning

Level 4 Diploma in Investments

Level 4 Diploma in Compliance

Job description

• Design and maintain a risk-based Investment Compliance Oversight Framework


• Provide second-line oversight of investment governance, portfolio management controls and product governance arrangements


• Deliver compliance monitoring and assurance activity across investment operations and governance processes


• Assess and report on regulatory risks, client outcomes and control effectiveness


• Monitor compliance with FCA requirements, Consumer Duty, COBS, MiFID II and product governance requirements


• Produce management information, governance papers and regulatory reports for senior stakeholders and committees


• Support the development and enhancement of investment-related policies, procedures and controls


• Provide effective challenge and guidance to business stakeholders on regulatory and conduct matters


• Identify emerging risks, breaches, trends and control weaknesses, ensuring appropriate escalation and remediation


• Support regulatory change initiatives, thematic reviews and investment compliance projects

Requirements

• A Level 4 Diploma or equivalent qualification in financial planning, investments or compliance


• Strong knowledge of FCA regulations relating to investments, MPS, Consumer Duty, COBS, MiFID II and product governance


• Experience operating compliance monitoring programmes, assurance frameworks or second-line oversight functions


• A detailed understanding of investment governance, portfolio management and adviser distribution models
  
• Experience producing high-quality compliance reports and board-level management information


• Excellent analytical, communication and stakeholder management skills


• The confidence to provide constructive challenge while building effective working relationships across the business


• Strong organisational skills and the ability to manage multiple priorities in a fast-paced environment

Core Competencies

Demonstrates expertise in Investment Compliance Oversight, including the design and maintenance of risk-based frameworks, compliance monitoring, and regulatory reporting. Proficient in FCA regulations, investment governance, and stakeholder management, ensuring effective challenge and guidance on compliance matters.

Highest-signal resume keywords

• Investment Compliance Oversight Framework


• FCA Regulations


• Compliance Monitoring Programmes


• Regulatory Reporting


• Stakeholder Management

ATS Optimization Keywords

Hard Skills

• Risk-Based Framework Design


• Compliance Monitoring


• Regulatory Risk Assessment


• Investment Governance


• Portfolio Management Controls


• Product Governance


• Compliance Assurance


• Management Information Production


• Regulatory Change Initiatives


• Thematic Reviews

Soft Skills

• Analytical Skills


• Communication Skills


• Organizational Skills


• Constructive Challenge


• Relationship Building

Certifications & Qualifications

• Level 4 Diploma in Financial Planning


• Level 4 Diploma in Investments


• Level 4 Diploma in Compliance

Industry Keywords

• FCA Requirements


• Consumer Duty


• COBS


• MiFID II


• Adviser Distribution Models