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Looking for a compliance management role where you can genuinely make an impact?
Are you able to help us maintain and grow our excellent reputation for customer care and professionalism?
Join us, and put your technical and product knowledge, compliance experience, and methodical methods to use as part of our award-winning business.
Please note – we require someone who has experience within Financial Services Industry – thank you.
Where do you fit in?
You’ll be at the heart of our compliance program, working closely with our investment managers to ensure our processes meet regulatory requirements. Using your excellent communication skills, you’ll clearly convey complex regulatory information, championing a positive, efficient compliance program which always prioritises great outcomes for our clients.
You’ll help us to deliver outstanding investment services while ensuring we meet the highest regulatory standards.
Day to day you’ll be involved with:
- Pre-Approval Reviews
- Post-Implementation Checks
- Effective Communication
- Record Keeping
- Trend Analysis & Support
- Compliance Advice
What’s in it for you?
- A competitive salary + benefits including private medical insurance, paid birthday leave, and opportunities to volunteer for charity
- A busy, varied role with lots to do. A friendly, growing team in an expanding business
- Professional growth within a positive, customer focused environment. You’ll be part of a team that prioritises excellent client outcomes
What do you need to succeed?
- Extensive experience in financial services, particularly in product governance or compliance roles
- In-depth knowledge of UK financial regulations, with a focus on Consumer Duty, along with a strong understanding of investment products, portfolio construction, and risk management
- A degree in Finance, Business, or a related field along with a professional qualification, such as CFA, CISI, or equivalent would be great, but not essential.
You can be based in our offices in Central London, or Exeter.
Following successful completion of your training period, hybrid working is available.
Travel will occasionally be required to other group locations according to the needs of the business.
We are committed to equality of opportunity for all, we care passionately about our staff and are committed to promoting and protecting the physical and mental health of all our employees.
To view the job description, please click here.
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