We are currently supporting our client in the investments sector with appointing a Senior Manager to join their Compliance Advisory team in London.
This senior role plays a key part in shaping the strategy and direction of the Compliance Advisory function, ensuring the delivery of consistent, high-quality guidance across the organisation’s investment operations.
Key Responsibilities
- Provide senior-level compliance input and direction across a range of investment activities, including advisory, delegated, and direct investment services.
- Take responsibility for guiding and developing team members, including involvement in hiring, coaching, and performance oversight where required.
- Act as a key escalation point for complex or sensitive compliance and risk-related matters.
- Support alignment and clear communication between compliance leadership and first line teams.
- Build and maintain strong, credible relationships across the business, positioning yourself as a reliable and pragmatic compliance partner.
- Serve as a primary contact for regulatory queries or incidents, offering clear, solutions-focused advice.
- Participate in governance forums and operational discussions, providing constructive challenge and independent oversight.
- Keep abreast of regulatory changes, identifying potential impacts and helping drive necessary enhancements within the business.
- Ensure the quality and consistency of compliance guidance delivered, including contributing to training initiatives where appropriate.
- Encourage a culture grounded in ethical behaviour, openness, and accountability.
- Work closely with colleagues across legal and compliance functions to support broader strategic priorities.
- Contribute to ensuring the business meets its regulatory and risk obligations, including supporting reviews, audits, and regulatory engagement activities.
Ideal Candidate
- Professional credentials in investments, with additional qualifications in risk management, compliance, or law desirable.
- Previous experience managing teams is advantageous.
- Extensive experience in regulated environments and familiarity with Compliance or Control functions in UK MIFID firms.
- Experience engaging with senior management and executives.
- Strong understanding of UK regulatory frameworks and ability to apply them effectively.
- Knowledge of financial services, investment markets, and market participants.
- In-depth knowledge of MIFID, with awareness of EMIR, SFTR, MAR, and fund regulations.
- Excellent supervisory, organisational, and communication skills, able to work under pressure while encouraging collaborative action.
- Solid grasp of corporate governance practices.
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