Compliance Manager (Advisory)
Location: Leeds (Hybrid)
Salary: c. £60,000 + Benefits (potential scope to go higher for the right candidate)
A leading UK investment organisation is seeking a Compliance Manager to join its expanding Risk & Compliance function. This is an exciting opportunity to work in a second line oversight role, partnering closely with investment, operations, and governance teams to ensure robust regulatory compliance and strong conduct culture across the business.
About the Role
The Compliance Officer (Advisory) will provide high-quality regulatory advice, challenge, and support across the organisation, ensuring adherence to FCA requirements, conduct and financial crime standards, and broader regulatory obligations.
You will play a key role in supporting regulatory change, maintaining oversight of compliance frameworks, and contributing to the delivery of accurate and timely regulatory reporting. Working alongside the Head of Compliance & MLRO and Senior Compliance Managers, you will help shape the organisation’s compliance environment and drive a positive compliance culture.
Key Responsibilities
Advisory & Oversight
* Provide day-to-day compliance advice across the business on regulatory matters including COBS, SYSC, COLL, FUND and Best Execution.
* Support the development and maintenance of a Compliance Obligations Register.
* Assist in preparing materials for governance committees and regulatory working groups.
* Support horizon scanning activities and maintain associated tracking of regulatory developments.
* Review internal due diligence relating to investment activities.
* Assist with internal and external audit (including CASS) engagements by coordinating information requests and documentation.
Monitoring, Reporting & Controls
* Support regulatory reporting processes, ensuring submissions are accurate and timely.
* Maintain oversight of breach management processes, including reviewing incidents, maintaining records, and preparing MI for governance forums.
* Contribute to the effective operation of regulatory risk, conduct, and anti-financial crime frameworks.
People & Culture
* Support constructive relationships with the regulator and external partners.
* Promote a strong compliance and conduct culture across the organisation.
* Identify and contribute to capability development across the Risk & Compliance team.
Skills & Experience Required
Essential
* Experience providing regulatory compliance and conduct advice within investment management, or similar regulated environments.
* Strong working knowledge of FCA regulatory requirements relevant to institutional investment management.
* Experience supporting or overseeing compliance and conduct-related control frameworks.
* Excellent communication, analytical, organisational and stakeholder-management skills.
* High integrity, sound judgement, and the ability to challenge effectively.
* Strong IT proficiency and practical understanding of institutional investment processes.
Desirable
* Experience in financial crime, internal audit, or related oversight activities.
* Understanding of data protection and information management regulations.
Qualifications
* Professional compliance qualification (e.g. CISI, IA Compliance, financial crime diploma) or equivalent experience.
Values & Culture
The successful candidate will demonstrate behaviours aligned to:
* Integrity – doing the right thing for customers and stakeholders
* Collaboration – working positively across teams and functions
* Sustainability – supporting long-term responsible investment and governance