Compliance Manager

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

#J-18808-Ljbffr…