Investments Compliance Manager

St. James's Place; United Kingdom; Hybrid; GBP 50,000 - 80,000; Full time

Job summary

Join a leading financial services firm as a Compliance Lead, where you will foster a compliance culture within the organization while ensuring adherence to FCA regulations. This role offers a unique opportunity to work closely with senior management on regulatory issues and drive compliance initiatives.

Benefits

Discretionary bonus scheme

28 days leave plus bank holidays

Parental leave (26 weeks full pay)

Private medical insurance (optional)

10% non-contributory pension

Qualifications

• At least three years' experience in risk and compliance within financial services.
• Deep knowledge of FCA regulations, especially COLL and FUND sections.
• Experience in conducting detailed reviews and providing risk-based opinions.

Responsibilities

• Lead and advise on Compliance priorities ensuring adherence to regulations.
• Oversee implementation of compliance policies and controls.
• Act as a trusted advisor on regulatory matters to senior management.

Skills

Knowledge of FCA regulations

Interpersonal skills

Attention to detail

Risk identification

Job description

Are you ready to chart your own career path? At SJP, we need talented individuals like yourself to support our evolving culture. If you're seeking an employer passionate about excellence, innovation, and autonomy, SJP could be the place for you.

At a glance:

Location: ILT Location External Lombard Street

Workplace Type: Hybrid

Employment Type: Permanent

Seniority: Mid-Senior Level

What you'll be doing:

The St. James's Place Risk and Compliance Division is committed to providing independent assurance and adding value to the SJP Group by reviewing and reporting on the adequacy of processes and compliance controls, mainly related to FCA Conduct Risk and PRA regulations. The role's main purpose is to foster a compliance culture within the SJP Group through second line of defence compliance monitoring, aligned with business strategy and daily operations.

Key Responsibilities:

• Lead and advise on Compliance priorities for SJP UTG, ensuring adherence to relevant laws, rules, and regulations (including MiFID II, COLL, FCA, and other regulators).
• Oversee the implementation of compliance policies, procedures, and controls to ensure regulatory standards are met.
• Support the development of the compliance monitoring plan and recommend review strategies to relevant governance committees.
• Act as a trusted advisor, providing judgment on regulatory matters and signposting risks to senior management.
• Provide expertise and advice on regulatory issues impacting SJP UTG.
• Contribute to the Compliance Planning cycle and support FCA supervisory relationships.
• Report on regulatory priorities and issues to Boards and governance forums.
• Present on regulatory issues to the SJP Board, ExCo, and other forums, engaging with leadership on compliance matters.

What skills do you need?

• Deep knowledge of FCA regulations, especially COLL and FUND sections.
• Knowledge of Active Equity/Fixed Income, Multi-Asset, Money Market, Index, and ETF products.
• Ability to identify and challenge conduct and regulatory risks.
• Experience in conducting detailed reviews and providing risk-based opinions.
• Strong interpersonal skills for influencing and collaborating across teams.
• Proactive in issue identification, proposing solutions, and supporting remediation.
• High accuracy and attention to detail.
• At least three years' experience in risk and compliance within financial services, with understanding of the three lines of defence.

What's in it for you?

We reward your work through a discretionary bonus scheme, competitive leave (28 days plus bank holidays, with options to purchase more), and an online rewards platform with discounts. Benefits include:

• Parental leave (26 weeks full pay)
• Private medical insurance (optional)
• 10% non-contributory pension, increasing with service

Reasonable Adjustments: We are an inclusive employer. If you need adjustments during the recruitment process, contact us at [e-mail]. We encourage applications from diverse backgrounds and those with transferable experience, even if you don't meet every criterion.

What's next?

If you're excited about this role and meet the criteria, please apply by clicking 'apply'. Our team will contact you. Please familiarize yourself with FCA conduct regulations and consumer duty obligations before the interview.