Compliance Manager - Regulatory Oversight

  • Location


  • Discipline:


  • Job type:


  • Salary:

    £80,000 - £90,000

  • Consultant:


  • Email:


  • Job ref:


  • Published:

    about 1 year ago

Compliance Manager required for a financial services firm based in London that offers FCA Umbrella services to VC firms, Fund Managers, Managed Accounts (trading Futures & Options) and to other industry sectors.

The company are a market leader in their field offering FCA Umbrella services to Appointed Representatives.

As the Compliance Manager, you will be part of a small compliance team responsible for governance, risk and compliance oversight for a broad range of financial services firms on their regulatory platform.

The successful individual will become involved in all aspects of supervision with an emphasis on client relationship management, training and compliance advisory work and specific duties will include:

  • Compliance Oversight - Appointed Representative
  • Creating, developing, implementing compliance policies and procedures.
  • Developing and improving compliance controls currently in place including periodic monitoring.
  • Provide cover/support to Head of Compliance
  • Support on regulatory change and compliance projects (such as SMCR)
  • Compliance Operations - senior/expert processes
  • Deliver inductions and training
  • Review of Financial Promotions

You will report directly to the Head of Compliance and you will be given the autonomy to carry out your role without micro management.


Candidates must have solid buy-side compliance experience and be familiar with the FCA handbook. Product governance and financial promotions reviews feature heavily. Qualifications in law, risk or compliance are highly desirable as are an interest in processes and technology.

Our client are looking for an ambitious, driven regulatory professional who wants to roll up their sleeves and genuinely make a difference in this growing company. You will need to be someone who is very comfortable and enjoys working closely with senior stakeholders ranging from CEO’s, traders to MD’s of their Appointed Representatives.

Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately your application has been unsuccessful. However, we may be in touch with similar relevant opportunities in the future.