Compliance Manager

Posted 03 January 2024
Salary Negotiable
Job type Permanent
Discipline Compliance
Contact NameElla Nibloe

Job description

Are you a seasoned compliance professional with an investment background seeking a new challenge?

Role Highlights:

  • Pivotal Compliance Manager role at an emerging London investment firm
  • Safeguard customers, drive business success, and ensure compliance, especially with MiFID and CASS regulations
  • Collaborate with dynamic teams to establish and enhance a robust compliance program
  • Provide specialised advice on investment product development
  • Manage relationships, oversee investing products, and conduct monitoring for optimal functionality
  • Lead regulatory projects and ensure adherence to policies and procedures
  • Review financial promotions and customer complaints for fair outcomes
  • Stay informed about regulatory developments impacting retail investment firms

Qualities We Value:

  • Motivated, action-oriented individual with a questioning mindset
  • Adaptability and strong prioritisation skills
  • Methodical approach to challenges
  • Excellent communicator with a professional yet enjoyable demeanor.

Experience and Skills:

  • Proven experience in overseeing investment products
  • In-depth knowledge of UK regulatory requirements, particularly funds, MiFID, and CASS rules
  • University education with excellent communication skills.
  • Ability to work independently


  • Join a vibrant, inclusive company culture
  • Collaborate with a motivated team in a dynamic environment
  • Make a tangible impact with your valued input
  • Competitive remuneration package
  • Hybrid role with 2 days in the London office

Take the next step in your career and apply now to become an Investment Specialist Compliance Manager, contributing to the growth and success of our up-and-coming investment firm.