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Job Description

We are currently supporting our client in the investments sector with appointing a Senior Manager to join their Compliance Advisory team in London.

This senior role plays a key part in shaping the strategy and direction of the Compliance Advisory function, ensuring the delivery of consistent, high-quality guidance across the organisation’s investment operations.

Key Responsibilities

Provide senior-level compliance input and direction across a range of investment activities, including advisory, delegated, and direct investment services. Take responsibility for guiding and developing team members, including involvement in hiring, coaching, and performance oversight where required. Act as a key escalation point for complex or sensitive compliance and risk-related matters. Support alignment and clear communication between compliance leadership and first line teams. Build and maintain strong, credible relationships across the business, positioning yourself as a reliable and pragmatic compliance partner. Serve as a primary contact for regulatory queries or incidents, offering clear, solutions-focused advice. Participate in governance forums and operational discussions, providing constructive challenge and independent oversight. Keep abreast of regulatory changes, identifying potential impacts and helping drive necessary enhancements within the business. Ensure the quality and consistency of compliance guidance delivered, including contributing to training initiatives where appropriate. Encourage a culture grounded in ethical behaviour, openness, and accountability. Work closely with colleagues across legal and compliance functions to support broader strategic priorities. Contribute to ensuring the business meets its regulatory and risk obligations, including supporting reviews, audits, and regulatory engagement activities.

Ideal Candidate

Professional credentials in investments, with additional qualifications in risk management, compliance, or law desirable. Previous experience managing teams is advantageous. Extensive experience in regulated environments and familiarity with Compliance or Control functions in UK MIFID firms. Experience engaging with senior management and executives. Strong understanding of UK regulatory frameworks and ability to apply them effectively. Knowledge of financial services, investment markets, and market participants. In-depth knowledge of MIFID, with awareness of EMIR, SFTR, MAR, and fund regulations. Excellent supervisory, organisational, and communication skills, able to work under pressure while encouraging collaborative action. Solid grasp of corporate governance practices.

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