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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