Senior Compliance Manager

Compliance Professionals; London; On-site; GBP 70,000 - 90,000; Full time

Job summary

A leading advisory firm in London is seeking an experienced Compliance Manager to oversee the UK compliance function. The role involves ensuring alignment with FCA requirements, conducting compliance monitoring, and reviewing financial promotions. Candidates should have over 8 years of experience in compliance, particularly within asset or wealth management. Strong communication and attention to detail are essential. This role offers a competitive package and the chance to lead compliance initiatives in a dynamic environment.

Qualifications

• 8+ years of experience in compliance.
• Strong familiarity with UK regulatory requirements.
• Experience in asset or wealth management compliance.

Responsibilities

• Manage UK compliance function and ensure FCA compliance.
• Conduct compliance monitoring and regulatory reporting.
• Review financial promotions and suitability of client portfolios.

Skills

Compliance monitoring

Regulatory reporting

Communication skills

Attention to detail

Interpersonal skills

Job description

THE COMPANY: Our client is a leading advisory firm, providing investment management services for individuals, families, charities and institutions. THE RESPONSIBILITIES:

• Day to day responsibility for managing the UK compliance function to ensure compliance with FCA requirements, including:
• Compliance monitoring activity, covering applicable UK and US requirements.
• Regulatory reporting (for example, using the FCA GABRIEL system).
• Reviewing financial promotions and publications, including promotional material for the Funds and strategies.
• Reviewing suitability of private client portfolios.
• Preparing and assisting in the delivery of training and briefings.
• Supporting the business, providing advice and dealing with queries.
• Liaising with US colleagues in compliance and other areas, representing UK compliance in meetings.
• Assisting in the preparation of reports and committee papers.
• Participating in and managing projects relating to new regulation and new processes.
• Product governance and support for the institutional team in respect of the UCITS funds.
• Contributing to policy and procedure development, and maintenance of relevant compliance registers and documentation.

EXPERIENCE REQUIRED:

• 8+ years of experience.
• Prior experience working in an asset management or wealth management compliance role.
• Familiarity with UK regulatory requirements, including FCA rules, money laundering requirements and data protection.
• Knowledge of SEC requirements and other jurisdictions would be an advantage.
• Excellent written/verbal communication skills.
• Exceptional attention to detail, good interpersonal skills, and an orientation towards the achievement of team goals.

For further information please contact Spencer Evans