Location: London – Hybrid
A leading global provider of asset management and investment solutions is seeking an experienced Senior Compliance Manager who will support the business by providing regulatory advice, reviewing communications, monitoring activities, and helping maintain compliance with FCA and other applicable regulations.
Key Responsibilities:
- Provide regulatory compliance advice to asset management and investment business units, ensuring adherence to FCA rules (including CASS, SMCR, Consumer Duty, and Market Abuse) and MiFID requirements.
- Review and advise on financial promotions and marketing materials to ensure compliance with UK and EU regulations.
- Monitor regulatory developments, assess impact on the business, and support implementation of new compliance requirements.
- Draft, review, and update internal compliance policies and procedures in line with evolving regulatory expectations.
- Support senior compliance leadership and represent the Compliance function in business and governance meetings, contributing to effective oversight and risk management.
Skills & Knowledge:
- 8+ years' advisory compliance experience in wealth or investment management
- Strong knowledge of FCA regulations (MIFID, CASS, SMCR, consumer duty, market abuse, trade surveillance, conflict of interest)
- Strong ability to communicate with regulators and senior stakeholders
