Senior Compliance Manager (6-month FTC)

Ascot Lloyd; Reading; Hybrid; GBP 70,000 - 90,000; Full time

Job summary

A growing national business is seeking a Senior Compliance Manager to join their team on a 6-month fixed-term contract in Reading. The ideal candidate will have at least 10 years of experience in compliance and strong knowledge of the FCA Handbook. This role involves providing compliance advisory support, managing incidents, and ensuring regulatory adherence. This opportunity requires excellent communication skills and proficiency in MS Office tools.

Qualifications

• Minimum 10 years' experience in compliance, ideally within wealth management.
• Strong knowledge of FCA Handbook (COBS, SYSC, DISP).
• Proven ability to solve complex compliance issues.

Responsibilities

• Provide compliance advisory support to financial planning and investment management teams.
• Draft and maintain compliance policies aligned with FCA requirements.
• Support acquisition projects to ensure compliance representation.

Skills

Compliance advisory support

Knowledge of FCA Handbook

Strong communication skills

Relationship-building

Attention to detail

Tools

MS Word

Outlook

PowerPoint

Excel

Job description

What a fantastic opportunity to be part of a collaborative and forward-thinking team in a growing national business.

At Ascot Lloyd, we're all about putting people first - whether it's our clients or our colleagues - and we live our values every day:

• Client First - We always act in the best interests of our clients.
• Clarity - We communicate openly and honestly.
• Expertise - We deliver trusted advice and solutions.
• Collaboration - We work together to achieve great outcomes.

This could be your perfect next step - if you think this role is for you, we'd love to hear from you!

Location: London or Reading

Hours: Full-time, with 3 days per week in the office

Reports to: Head of Compliance Advisory

SMCR Function: Conduct Role

About the Role

We are seeking an experienced Senior Compliance Manager to join Ascot Lloyd on a 6-month fixed-term contract. This role is pivotal in supporting the Head of Compliance / MLRO across all aspects of compliance, ensuring robust advisory services and regulatory adherence throughout the business.

Key Responsibilities

• Provide compliance advisory support to financial planning and investment management teams.
• Draft, develop, and maintain compliance policies aligned with FCA requirements, and deliver training to embed these within the business.
• Support acquisition projects, ensuring compliance is represented throughout.
• Manage incidents and risk events, including root cause analysis, trend reporting, and control enhancements.
• Review and approve financial promotions and marketing materials.
• Oversee conflicts of interest processes and maintain the conflicts register.
• Handle DSAR requests in line with company processes.
• Prepare and submit FCA reports, returns, and notifications.
• Assist with complaint investigations and produce compliant MI and key themes.
• Produce compliance MI for boards and committees.
• Deputise for the Head of Compliance on ad-hoc projects.
• Promote a strong risk and compliance culture across Ascot Lloyd.
• Manage FCA Directory persons and SMCR applications.
• Oversee PII renewals and related information requests.

What We're Looking For

• Minimum 10 years' experience in compliance, ideally within wealth management.
• Strong knowledge of FCA Handbook (COBS, SYSC, DISP).
• Proven ability to solve complex compliance issues and advise on regulatory solutions.
• Excellent communication and relationship-building skills at all levels.
• Proficiency in MS Word, Outlook, PowerPoint, and Excel.
• High attention to detail and accuracy.

Individual Conduct Rules

1. Act with integrity.
2. Exercise due care, skill, and diligence.
3. Be open and co-operative with regulators.
4. Treat customers fairly and act in their best interests.
5. Observe proper standards of market conduct.
6. Deliver good outcomes for clients.