Senior Compliance Manager (6-month FTC)

Posted 7 hours 52 minutes ago by Ascot Lloyd group

Permanent
Full Time
Other
England, United Kingdom
Job Description

What a fantastic opportunity to be part of a collaborative and forward-thinking team in a growing national business.

At Ascot Lloyd, we're all about putting people first - whether it's our clients or our colleagues - and we live our values every day:

Client First - We always act in the best interests of our clients.
Clarity - We communicate openly and honestly.
Expertise - We deliver trusted advice and solutions.
Collaboration - We work together to achieve great outcomes.

This could be your perfect next step - if you think this role is for you, we'd love to hear from you!

Location: London or Reading
Hours: Full-time, with 3 days per week in the office
Reports to: Head of Compliance Advisory
SMCR Function: Conduct Role

About the Role

We are seeking an experienced Senior Compliance Manager to join Ascot Lloyd on a 6-month fixed-term contract. This role is pivotal in supporting the Head of Compliance / MLRO across all aspects of compliance, ensuring robust advisory services and regulatory adherence throughout the business.

Key Responsibilities
  • Provide compliance advisory support to financial planning and investment management teams.
  • Draft, develop, and maintain compliance policies aligned with FCA requirements, and deliver training to embed these within the business.
  • Support acquisition projects, ensuring compliance is represented throughout.
  • Manage incidents and risk events, including root cause analysis, trend reporting, and control enhancements.
  • Review and approve financial promotions and marketing materials.
  • Oversee conflicts of interest processes and maintain the conflicts register.
  • Handle DSAR requests in line with company processes.
  • Prepare and submit FCA reports, returns, and notifications.
  • Assist with complaint investigations and produce compliant MI and key themes.
  • Produce compliance MI for boards and committees.
  • Deputise for the Head of Compliance on ad-hoc projects.
  • Promote a strong risk and compliance culture across Ascot Lloyd.
  • Manage FCA Directory persons and SMCR applications.
  • Oversee PII renewals and related information requests.
What We're Looking For
  • Minimum 10 years' experience in compliance, ideally within wealth management.
  • Strong knowledge of FCA Handbook (COBS, SYSC, DISP).
  • Proven ability to solve complex compliance issues and advise on regulatory solutions.
  • Excellent communication and relationship-building skills at all levels.
  • Proficiency in MS Word, Outlook, PowerPoint, and Excel.
  • High attention to detail and accuracy.
Individual Conduct Rules

As part of the SM&CR framework, you must:

  1. Act with integrity.
  2. Exercise due care, skill, and diligence.
  3. Be open and co-operative with regulators.
  4. Treat customers fairly and act in their best interests.
  5. Observe proper standards of market conduct.
  6. Deliver good outcomes for clients.