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451
Investment Manager jobs in United Kingdom
Senior Compliance Manager - Retail Investment product
Compliance Professionals
City Of London
On-site
GBP 80,000 - 100,000
30+ days ago
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Hybrid Asset Risk Manager: Credit & Investment Oversight
Orbis
City Of London
Hybrid
GBP 60,000 - 80,000
30+ days ago
Real Estate Finance Manager — Growth & Investment (Mayfair)
Cobalt Consulting (UK) Ltd
City Of London
On-site
GBP 50,000 - 60,000
30+ days ago
Investment / Portfolio Manager (UHNWI)
Core-Asset Consulting Ltd
City Of London
On-site
GBP 60,000 - 90,000
30+ days ago
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Janus Henderson Investors
City Of London
On-site
GBP 40,000 - 65,000
30+ days ago
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CVX Ventures
City Of London
On-site
GBP 200,000 +
30+ days ago
Program Delivery Manager - Investments - J.P. Morgan Personal Investing
JPMorgan Chase & Co.
City Of London
On-site
GBP 70,000 - 90,000
30 days ago
Wealth Management, Global Investment Strategist, EMEA Private Bank, Vice President
JPMorganChase
City Of London
On-site
GBP 70,000 - 100,000
30+ days ago
Impact Investment Lead: Private Equity & Portfolio Mgmt
Michael Page (UK)
Leeds
On-site
GBP 40,000 - 60,000
30+ days ago
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All Response Media
City Of London
On-site
GBP 35,000 - 50,000
30+ days ago
Treasury Chief Investment Office - Capital Data Product Owner - Vice President
J.P. Morgan
City Of London
On-site
GBP 70,000 - 90,000
30+ days ago
Investment Banking Consultant
Weekday AI (YC W21)
United Kingdom
Remote
GBP 80,000 - 100,000
30+ days ago
Remote Investment Banking Consultant - 4-Week Project
Weekday AI (YC W21)
United Kingdom
Remote
GBP 80,000 - 100,000
30+ days ago
PA to 3 Senior Directors. Property Investment. ASAP start
Joyce Guiness Limited
City Of London
On-site
GBP 30,000 - 40,000
30+ days ago
Senior Compliance Manager - Retail Investment product
Compliance Professionals
City Of London
On-site
GBP 80,000 - 100,000
Full time
30+ days ago
Job summary
A financial services broker in the City of London is seeking a seasoned compliance professional. The role involves advising on product compliance, managing regulatory obligations, and providing training across teams. Candidates should possess over 7 years of experience in compliance with strong knowledge of FCA regulations, especially in retail investments. Excellent communication skills and strategic thinking are essential.
Qualifications
- 7+ years of experience in a senior generalist compliance role.
- Solid background in financial services and knowledge of leveraged trading.
- Familiarity with FCA regulations, particularly the Consumer Duty.
Responsibilities
- Provide advice on new product introductions and existing product adaptations.
- Deliver ongoing training to stakeholders as required.
- Assist in monitoring compliance activities and managing complex complaints.
Skills
CFDS and Spreadbetting knowledge
Stakeholder management
Regulatory compliance understanding
Strategic thinking
Communication skills
Job description
THE COMPANY:
Our client is a well-known Broker based in the heart of the City, with exciting growth plans.
THE RESPONSIBILITIES:
- Providing advice to the product teams on introduction of new and adaptations to existing products
- Advising all parts of the business on its obligations under the Consumer Duty and application of its principles and outcomes.
- Advising the marketing function on regulatory requirements including in respect of approach to specific campaigns.
- Development and deployment of relevant compliance policy, and associated control frameworks necessary to ensure regulatory compliance and adherence to policy.
- Delivery of ongoing training to the UK divisional business, UK compliance team and other stakeholders as required.
- Assisting Compliance Assurance with monitoring activity as required e.g. client communications.
- Attending Client Money and Assets Committee and assisting in client money advisory matters.
- Reviewing Operational Risk Events for indications of regulatory breaches.
- Managing high-value, and or complex complaints. This encompasses ultimate responsibility for the drafting and submission on a timely basis of the response to the complaint.
- Providing strategic advice on the approach to the ombudsman in response to high-value or precedent-setting complaints within regulatory timelines
- Advising on Financial Promotions compliance, acting as a first point of contact for the marketing teams and leadership.
EXPERIENCE REQUIRED:
- CFDS, Spreadbetting Retail Investor products/background required
- 7+ years of experience in a senior generalist compliance role (Retail investments/brokage background required )
- Solid background in financial services with good working knowledge of leveraged and non-leveraged trading of financial instruments and other popular investments. (CFDS, Spreadbetting, Crypto)
- Strong understanding of the FCA regulations applicable over Retail investments, particularly the Consumer Duty, COBS, and DISP.
- Familiarity with UK regulation and regulatory framework, and other handbook areas such as Client Money & Assets, Product Governance, Training & Competence, SMCR & FIT.
- Bonus is you have Financial Promotions experience
- Excellent stakeholder management and communication skills across all levels of the organisation
- Proven ability to demonstrate strategic thinking with a proactive and solutions-focused approach
For further information please contact Hannah Tabatabai
* The salary benchmark is based on the target salaries of market leaders in their relevant sectors. It is intended to serve as a guide to help Premium Members assess open positions and to help in salary negotiations. The salary benchmark is not provided directly by the company, which could be significantly higher or lower.