Join a dynamic Asset Management Compliance team and play a key role in supporting regulatory compliance across a broad spectrum of activities. This is a fantastic opportunity for someone with a strong understanding of FCA rules and industry best practices.

Key Responsibilities:
- Respond to daily business enquiries referencing the FCA Handbook and industry guidance, with a focus on Sales & Marketing, Financial Promotions, Personal Account Dealing, Gifts & Entertainment.
-Act as the team’s subject-matter expert on SMCR.
-Provide timely and accurate regulatory advice, leveraging strong business knowledge.
-Support internal group reporting and produce monthly Management Information for governance committees.
-Assist with Core Compliance system
-Complete routine FCA returns and Approved Persons applications.
-Support the annual SEC ADV process and Fit & Proper re-certifications.
-Contribute to training initiatives and manage the conflicts of interest register.
-Maintain compliance registers and calendars.
-Conduct horizon scanning for new EU and UK regulations impacting the firm.
-Participate in regulatory impact analysis and implementation projects.
-Review and implement policies and procedures to ensure alignment with Group and local regulatory requirements.

✅ What We’re Looking For:
-Strong working knowledge of FCA regulations and asset management compliance.
-Experience with regulatory reporting and governance.
-Excellent communication and organisational skills.
-A proactive mindset and the ability to work independently and collaboratively.

What you need to do now

If you're interested in this role, click 'apply now' to forward an up-to-date copy of your CV, or call us now.

If this job isn't quite right for you, but you are looking for a new position, please contact us for a confidential discussion about your career.