Job Description
This job is with St. James's Place, an inclusive employer and a member of myGwork – the largest global platform for the + business community. Please do not contact the recruiter directly.
About the Role
We're looking for a skilled and confident Compliance and Supervision Manager to lead the design, implementation, and oversight of a robust training, competence, and compliance program across the Perennial Group and associated businesses. Acting as a senior compliance lead, you will play a pivotal role in embedding systems, policies, and controls that support strong regulatory standards and consistently positive client outcomes. This is a highly visible role where your expertise will directly influence our compliance culture, risk mitigation, and operational efficiency.
What You'll Be Doing
* Lead the development and maintenance of the Training & Competence (T&C) Scheme and compliance oversight framework.
* Monitor and manage annual competency and Fitness & Propriety requirements under SM&CR.
* Ensure timely updates to FCA registers and manage onboarding of approved/certified individuals.
* Carry out risk assessments, oversee compliance assurance visits, and perform trend analysis.
* Drive delivery of training needs analysis and implement related training programs.
* Lead Partner Acquisition Due Diligence exercises and regulatory assessments for new firms.
* Prepare and deliver meaningful Management Information (MI) and board-level risk dashboards.
* Advise senior leaders on legal and regulatory changes and oversee timely implementation.
* Ensure policies reflect regulatory expectations and are stress-tested for operational effectiveness.
* Act as a lead liaison for regulatory engagement and reporting, including FCA submissions.
* Champion cultural and ethical standards, promoting fairness, integrity, and client-centricity across the Group.
* Line manage and support compliance teams across Perennial and its associated firms.
Who We're Looking For
We're seeking a strategic and proactive compliance professional with strong leadership skills and experience in regulatory oversight, ideally within the financial advice or wealth management sectors. You should have a natural ability to build relationships with internal and external stakeholders and the confidence to provide senior-level advice and guidance. A strong grasp of SM&CR, T&C schemes, and client-centric outcomes is essential to your success in this role.
Essential Skills & Experience
* Proven experience in a compliance leadership role within financial services.
* Proven experience managing SM&CR requirements and T&C frameworks.
* Ability to influence, lead teams, and deliver effective regulatory change.
* Excellent written and verbal communication skills with strong MI and report presentation capabilities.
Desirable Skills
* Diploma in Financial Planning (or working towards it).
* In-depth knowledge of compliance in Partner/AR supervision environments.
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