We are seeking an experienced Senior Compliance Manager to join Ascot Lloyd on a 6-month fixed-term contract. This role is pivotal in supporting the Head of Compliance / MLRO across all aspects of compliance, ensuring robust advisory services and regulatory adherence throughout the business.
Responsibilities
* Provide compliance advisory support to financial planning and investment management teams.
* Draft, develop, and maintain compliance policies aligned with FCA requirements, and deliver training to embed these within the business.
* Support acquisition projects, ensuring compliance is represented throughout.
* Manage incidents and risk events, including root cause analysis, trend reporting, and control enhancements.
* Review and approve financial promotions and marketing materials.
* Oversee conflicts of interest processes and maintain the conflicts register.
* Handle DSAR requests in line with company processes.
* Prepare and submit FCA reports, returns, and notifications.
* Assist with complaint investigations and produce compliant MI and key themes.
* Produce compliance MI for boards and committees.
* Deputise for the Head of Compliance on ad-hoc projects.
* Promote a strong risk and compliance culture across Ascot Lloyd.
* Manage FCA Directory persons and SMCR applications.
* Oversee PII renewals and related information requests.
Qualifications
* Minimum 10 years' experience in compliance, ideally within wealth management.
* Strong knowledge of FCA Handbook (COBS, SYSC, DISP).
* Proven ability to solve complex compliance issues and advise on regulatory solutions.
* Excellent communication and relationship-building skills at all levels.
* Proficiency in MS Word, Outlook, PowerPoint, and Excel.
* High attention to detail and accuracy.
Individual Conduct Rules
At Ascot Lloyd, we live our values every day: Client First – We always act in the best interests of our clients.
* Act with integrity.
* Exercise due care, skill, and diligence.
* Be open and co-operative with regulators.
* Treat customers fairly and act in their best interests.
* Observe proper standards of market conduct.
* Deliver good outcomes for clients.
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