Senior Compliance Manager - Boutique Financial Services Firm

A prestigious financial boutique, comprising Investment Management, Wealth Planning, and Corporate Advisory & Broking divisions, is seeking a Senior Compliance Manager to join a growing team.

Position Overview: The Senior Compliance Manager will play a pivotal role within the Compliance Team, reporting to the Head of Compliance. This newly created position involves managing the Control Room and Central Compliance, delivering the Compliance Monitoring Programme, and supporting advisory matters to ensure adherence to UK regulatory requirements.

Key Responsibilities:

• Develop and implement compliance frameworks, policies, and processes across the organisation
• Conduct advisory reviews and develop strategies to mitigate risks
• Collaborate with internal stakeholders for a coordinated compliance approach
• Provide guidance on compliance matters, including new products and marketing materials
• Oversee the preparation of compliance MI and demonstrate compliance with Consumer Duty
• Maintain registers and control room functions
• Support the Head of Compliance with FCA engagements and periodic filings
• Foster the growth and development of the compliance team

Skills and Experience:

• Experience in a compliance role within wealth or asset management
• Understanding of equities market and corporate finance activities is a plus
• In-depth knowledge of regulatory requirements (Conduct of Business, Systems and Controls, SMCR, Financial Promotions, Market Abuse)
• Experience in designing and implementing regulatory frameworks is desirable
• Strong execution skills and resilience under pressure
• Excellent communication and stakeholder management skills

Qualifications:

• Professional qualifications in Compliance, such as Diploma in Investment Compliance (desirable)
• Degree in Law, Economics, Finance, or a related field (desirable)

Reporting To: Head of Compliance

Location: Hybrid, with office based in London