Compliance Advisory Manager – Investment & Wealth
We are seeking an experienced Compliance professional to join a second-line advisory function supporting an established Investment & Wealth business. This is a high-impact role where you will partner closely with front-office teams, offering practical regulatory guidance and helping shape strong governance practices.
About the Role
Working within a collaborative Compliance Advisory team, you will provide expert support to investment professionals, ensuring regulatory requirements are understood, applied, and embedded effectively across the business. You’ll play a key role in promoting strong client outcomes while enabling commercial activity within a well-controlled framework.
Key Responsibilities
- Act as a trusted Compliance advisor to investment and wealth teams, providing clear, timely, and practical regulatory guidance
- Support the identification, assessment, and resolution of regulatory issues, including potential breaches and control weaknesses
- Review and challenge new business initiatives, investment processes, and product governance arrangements
- Contribute to ongoing oversight of policies, procedures, and controls to ensure they remain robust and effective
- Assist in preparing accurate and insightful reporting for senior stakeholders
- Take ownership of regulatory change initiatives and contribute to the implementation of new requirements
- Provide guidance on conduct risk matters, including escalation and remediation of issues where required
- Promote continuous improvement in governance, oversight, and client outcome frameworks
What Success Looks Like
- Delivery of clear, relevant, and actionable compliance advice that supports both business objectives and regulatory expectations
- Strong communication of risks, issues, and recommendations to stakeholders at all levels
- Timely escalation and transparent reporting of key matters
- Effective collaboration across Compliance and business teams
- A proactive approach to enhancing processes and controls
Key Stakeholders
- Investment Managers, Client Teams, and Sales functions
- Compliance, Conduct Risk, and Monitoring teams
- Senior leadership within the Wealth and Investment business
Skills & Experience
- Solid understanding of financial services regulation, particularly within investment or wealth management
- Proven experience in a Compliance Advisory or similar second-line role (typically 5+ years)
- Strong written and verbal communication skills, with the ability to translate complex regulation into practical guidance
- Confident stakeholder engagement and the ability to challenge constructively
- A proactive mindset with the ability to manage multiple priorities across business areas
- Strong analytical skills with a pragmatic, risk-based approach
Qualifications
- Relevant industry qualifications are advantageous (e.g. CISI Diploma in Investment Compliance or similar)
- A-levels (or equivalent) required
Why Join?
- Play a meaningful role in shaping client outcomes and maintaining high regulatory standards
- Exposure to a dynamic and evolving regulatory environment
- Opportunities to contribute to strategic initiatives and industry engagement
- A collaborative environment that values expertise, integrity, and continuous development
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