About the Company
We are working with a growing private investment and advisory business that is entering an exciting stage of its development and looking to appoint a Compliance Manager. The business works closely with entrepreneurs, founders, family businesses and high-net-worth clients across investment, advisory and private capital activities.
About the Role
As the business evolves, introducing new services and structures, there is an opportunity for somebody to help shape how the regulatory and governance framework develops alongside it. This is not simply a BAU compliance role. You will work closely with senior leadership and have exposure well beyond traditional day-to-day compliance activity, helping ensure the business continues to grow in a way that is robust, proportionate and commercially sensible.
Responsibilities
* Supporting regulatory oversight across Private Equity and wider investment activities
* Helping shape governance structures, frameworks and controls
* Supporting FCA requirements and regulatory reporting
* Supporting SMCR and wider governance processes
* Helping assess and implement new initiatives and services
* Acting as a trusted internal point of contact on regulatory and compliance matters
Qualifications
We would be interested in speaking with individuals from backgrounds including:
* Private Equity
* Investment Management
* Wealth Management / Private Wealth
* Asset Management
* Regulatory hosting businesses
* Wider FCA regulated environments
Required Skills
* Experience operating within FCA regulated businesses
* Existing, previous or sufficiently relevant experience to step into SMF16 and/or SMF17 responsibilities
* Strong understanding of governance, risk and compliance frameworks
* Commercial judgement and a practical approach
* Comfortable operating within a growing and entrepreneurial environment
Leeds based with flexibility. This is an excellent opportunity to join a business at an important stage in its development and play a meaningful role in helping shape the future direction of its regulatory and governance framework, whilst working closely with experienced leaders, entrepreneurs and investors.
Pay range and compensation package
Competitive base salary, performance bonus and broader package, reflecting both experience and the opportunity to contribute to a growing business.
Equal Opportunity Statement
We are committed to encouraging equality, diversity and inclusion and welcome applications from all suitably qualified individuals regardless of age, disability, gender identity, marital status, pregnancy and maternity, race, religion or belief, sex or sexual orientation.