Investments Compliance Manager

JR United Kingdom; Bristol; On-site; GBP 40,000 - 60,000; Full time

Job summary

A leading consultancy firm based in Bristol is seeking an experienced professional to join its Investments Team. This role involves delivering financial services solutions, managing client audits, and mentoring junior staff. Candidates should have a proactive attitude and be skilled in building strong client relationships while ensuring compliance with regulatory requirements.

Benefits

Competitive salary with career growth opportunities

25-30 days holiday depending on service length

Company pension scheme

Private Medical Insurance

Modern City of London workspace

Regular social events and a dynamic team environment

Qualifications

• Experience in financial services is required.
• Certifications like CISI IOC are beneficial.
• Degree qualification is useful but not essential.

Responsibilities

• Stay updated on regulatory requirements.
• Manage client audits and deliver high-quality service.
• Build and motivate a team of compliance professionals.

Skills

Independence

Proactive attitude

Client relationship building

Attention to detail

Communication skills

Education

CISI IOC or equivalent

CISI IAD, PCIAM diplomas

Degree qualification

Job description

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Thistle Initiatives is a multi-award-winning regulatory consultancy, providing expert compliance advice and support across the financial services sector. Our clients range from niche start-ups to long-established market leaders covering the following verticals: Financial Crime, Investments, Payment Services and Credit & Insurance.

We have a fantastic opportunity for the right individual to develop a career with Thistle Initiatives. Currently experiencing rapid growth, Thistle is looking for an experienced professional to join the Investments Team, responsible for delivering financial services solutions to clients. The candidate should demonstrate independence, a proactive attitude, and the ability to build effective client relationships.

The role also involves promoting and selling Thistle Initiatives' services to new and existing clients, and participating in conferences, webinars, and marketing events.

Key Responsibilities

• Stay updated on regulatory requirements relevant to our clients and ensure timely implementation of changes.
• Maintain knowledge of regulatory policies including Financial Crime Prevention, Market Abuse, Conflicts of Interest, Personal Account Dealing, Inducements, Financial Promotions, and Training and Competence, especially relating to AIFMD and MiFID firms.
• Take initiative in completing client work, mentoring junior staff, and delivering high-quality service.
• Support the Partner in project delivery, oversight, and quality assurance.
• Manage client audits, reporting, and recommendations for improvements.
• Build and motivate a team of compliance professionals to deliver solutions.
• Manage multiple projects efficiently, working under pressure to meet deadlines.
• Develop strong client relationships and act as a trusted advisor.
• Communicate effectively with internal and external stakeholders, adapting to different audiences.
• Pay attention to detail and maintain commercial awareness.
• Embrace change and develop new skills as regulations evolve.
• Establish and maintain professional relationships, demonstrating credibility.
• Work proactively, act as a team player, and manage projects from start to finish.
• Draft clear and articulate written communications.
• Have a detailed understanding of the financial services wholesale sector, including Hedge Funds and Private Equity, and apply relevant regulations.

Experience/Qualifications

• Relevant experience in financial services.
• Certifications such as CISI IOC or equivalent are beneficial.
• Diplomas like CISI IAD, PCIAM, or working towards them are advantageous.
• Degree qualification is useful but not essential.

We Offer

• Competitive salary with career growth opportunities.
• 25-30 days holiday depending on service length.
• Company pension scheme.
• Private Medical Insurance.
• Modern City of London workspace.
• Regular social events and a dynamic team environment.

If you are ready to advance your career and join a supportive, dynamic culture, please apply.

Note: If you are not a passport holder of the country for the vacancy, a work permit may be required. For more info, check our Blog.

Applicants should not provide bank or payment details; applications must be submitted via the 'Apply now' button.

Created on 04/06/2025 by JR, United Kingdom