Senior Compliance Manager
16 days ago
City of London
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.