Overview
Meraki Talent are working with an Investment Firm to help them identify a Senior Compliance Officer to join on a 12-month fixed-term contract. This is a hybrid role with 1 day a week / fortnight in the office along with some amazing benefits.
This role is integral to the delivery and ongoing development of the compliance framework, with a particular focus on Compliance Advisory and day-to-day compliance activities.
Working closely with the Head of Operational Risk & Compliance, you will help implement the compliance strategy and ensure the organisation continues to meet high standards and regulatory obligations. This is a critical time to join, as the organisation adapts to a changing regulatory and market landscape, including government-led initiatives impacting the investment management industry.
Key Responsibilities
* Provide regulatory advice and guidance across the business, including policy reviews and input into key projects.
* Manage compliance queries and approvals (e.g., PA Dealing, Gifts & Entertainment, Conflicts of Interest).
* Lead compliance training and review learning materials for accuracy and relevance.
* Complete FCA filings and support SMCR processes in collaboration with HR.
* Identify and assess regulatory risks through horizon scanning and internal reviews.
* Conduct thematic compliance monitoring and facilitate remedial actions.
* Prepare compliance reports and documentation for governance committees.
* Maintain compliance manuals, policies, and procedures.
* Support compliance-related projects and ensure ongoing awareness of FCA requirements.
We are looking for
* Compliance experience, including senior roles within FCA-regulated investment management firms.
* Strong background in Compliance Advisory and structured compliance monitoring reviews.
* In-depth knowledge of UK financial services regulation, particularly the FCA Handbook.
* Familiarity with SMCR, Conflicts of Interest, Gifts & Entertainment, and PA Dealing.
* Proven experience reviewing and updating compliance policies.
* Strong interpersonal skills with the ability to collaborate effectively and constructively challenge across all levels.
* Excellent verbal and written communication skills.
* Proficiency in business applications to support compliance activities.
* Relevant professional qualifications (e.g., CISI or equivalent).
* Experience supporting governance committees and regulatory reporting.
Seniority level
* Mid-Senior level
Employment type
* Contract
Job function
* Finance
Note: This description reflects the information provided and focuses on responsibilities, qualifications, and role context. It omits non-essential marketing or platform-specific prompts and retains the legally relevant context.
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