Investment Management Compliance Business Partner

Evelyn Partners; Greater London; Hybrid; GBP 80,000 - 100,000; Full time

Job summary

A leading investment management firm in London is seeking a Compliance Advisor to provide high-quality compliance advice and training to the leadership team. The role involves maintaining compliance documentation, delivering training, and ensuring regulatory requirements are met. Ideal candidates will have experience in investment management, excellent communication skills, and a robust understanding of UK regulations. The position offers a competitive salary and a hybrid working model, making it ideal for skilled professionals seeking to enhance compliance culture.

Benefits

Competitive salary

Private medical insurance

Life assurance

Pension contribution

Generous holiday package

Option to purchase additional holiday

Shared parental leave

Qualifications

• Demonstrable experience in investment management.
• Substantial experience in compliance.
• Excellent understanding of FSMA 2000, FCA Handbook.
• Strong oral and written communication skills.
• Strong inter-personal skills and proactive approach.

Responsibilities

• Maintain compliance manual documenting policies for regulatory risks.
• Provide compliance expertise on strategic decisions.
• Lead regulatory training material production.
• Identify and report breaches and incidents.
• Represent Compliance at governance forums.

Skills

Investment management experience

Compliance expertise

Understanding of regulatory requirements

Communication skills

Interpersonal skills

Education

Degree in relevant field

Relevant industry qualifications

Job description

What will you be doing

We’re seeking a talented individual to join our team in London. Reporting to the Head of IM AM & General Advisory, you will provide high‑quality compliance advice and training to the Investment Management leadership team to support the delivery of good client outcomes, a compliant and risk‑aware culture, and the strategy.

You will work collaboratively with other members of Advisory, including but not limited to the Head of FP & Marketing Advisory, undertake special regulatory projects as directed by the Compliance Director or Head of IM AM & General Advisory, and support the delivery of the following activities: conflict checks, Disclosure & Transparency Rules disclosure obligations, and Takeover Code disclosure obligations.

Responsibilities

• Assist with the maintenance of an up‑to‑date compliance manual documenting all relevant policies designed to address regulatory risks.
• Provide compliance expertise and advice to the Investment Management business unit on strategic decisions, propositional developments, and material new business initiatives, always ensuring a focus on good client outcomes.
• Provide advice to line management and business stakeholders on how regulatory change initiatives will impact the business model and strategy for the Investment Management business unit.
• Lead the production of regulatory training materials and provide compliance training to line management and business stakeholders on current or proposed regulation.
• Identify, investigate and report on breaches and incidents, ensuring that these are logged promptly and accurately in the Governance Risk & Control platform and resolved within an appropriate timeframe.
• Represent Compliance at governance forums including but not limited to IOC, DWG and 3LoD Forum.

Qualifications

To be successful in this role you should:

• Demonstrable experience in investment management within a wealth management firm
• Substantial experience in compliance
• Excellent understanding of relevant regulatory requirements in the UK including FSMA 2000, the FCA Handbook, LSE rules, and the ISA Regulations
• Strong oral and written communication skills
• Strong inter‑personal skills, judgement and decision‑making ability, and a determined and proactive approach

Desired

• Preferably degree‑educated
• Relevant industry qualifications would be an advantage

Additional Information

• Competitive salary
• Private medical insurance
• Life assurance
• Pension contribution
• Hybrid working model (role‑dependent)
• Generous holiday package
• Option to purchase additional holiday
• Shared parental leave

We are proud to value the differences that a diverse workforce brings, representative of society and our clients. At Evelyn Partners we have a wide range of highly active employee resource groups and are delivering multiple diversity, equity and inclusion initiatives across the organisation. It is our commitment to provide a workspace where all colleagues, regardless of identity, background or circumstance, feel respected as individuals and can achieve their full potential in a safe, supportive and inclusive environment.

We are happy to make any reasonable adjustments to accommodate for your needs throughout the application process. Please let your Recruiter know.

Remote Work: No

Employment Type: Full‑time

Key Skills

• Marketing & Sales
• Business Administration
• Bid
• Instrumentation & Control
• HACCP

Experience: years

Vacancy: 1