Role purpose: define, lead and continuously improve the Compliance monitoring and oversight plan for the investment platform, working closely with key stakeholders across the Executive and extended leadership teams. You'll bring strong leadership, sound judgement and a collaborative approach helping teams navigate change initiatives, strengthening controls, and ensuring high-quality engagement with regulators and third parties. This position is based in our London office, with 3 days a required in the office.
Responsibilities
* Lead, motivate and develop a team of 2-4 colleagues, including performance management.
* Own and deliver the risk‑based Compliance Plan, including second‑line oversight, monitoring and control enhancement.
* Provide pragmatic investment risk and compliance advice to stakeholders at all levels, including support for key change initiatives.
* Manage regulatory engagement, including high‑quality responses to Depositary and FCA requests, data submissions and thematic visits.
* Produce clear compliance reporting and KPI tracking for relevant committees and senior stakeholders.
* Manage effective liaison with third parties, including the platform provider, ensuring oversight and service outcomes are met.
* Oversee risk monitoring against agreed thresholds and limits, collaborate across Group Risk/Compliance and coordinate with Internal Audit; deputise for the Director of Risk and Compliance as required.
Qualifications
* Strong track record in an investment management environment, ideally with exposure to investment platforms.
* Deep knowledge of the regulatory framework for operating an investment platform, including the wider regulatory landscape and emerging risks.
* Working knowledge of financial crime frameworks.
* Understanding of the wealth advice sector and experience operating within a vertically integrated firm.
* Proven leadership and people management capability.
* Excellent communication, influencing, facilitation and negotiation skills, with the confidence to challenge appropriately.
* Highly organised and analytical, able to interpret complex information, maintain robust audit trails, manage competing priorities and lead change.
Benefits
* Basic salary - £85,000 - £120,000 depending on experience
* Care allowance - £5,486
* Bonus scheme - on-target bonus 17.5%
* Pension - you contribute up to 5% of salary; Openwork matches with an additional 5%
* Critical illness cover
* Income protection - 1x salary
* Death in service - 4x salary
* Holiday - 27 days + bank holidays, with the option to buy up to 10 additional days
* Flexible benefits - including private medical insurance, dental insurance and more
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