At a Glance
- Tasks: Lead compliance for asset management, providing practical advice and ensuring regulatory adherence.
- Company: Join AJ Bell, a top investment platform known for its supportive culture.
- Benefits: Enjoy 27 days holiday, a generous pension scheme, and health benefits.
- Other info: Hybrid working model with a focus on inclusion and personal development.
- Why this job: Make a real impact in the finance world while helping customers achieve their goals.
- Qualifications: Experience in compliance or risk within FCA-regulated environments is essential.
The predicted salary is between 56700 - 69300 £ per year.
- Compliance Business Partner – Asset Management
- Full-time
- Business Areas: Risk And Compliance
- Location: Manchester or London
Good Compliance is about more than interpreting regulation.
It’s about understanding the business, asking the right questions and helping people make well-informed decisions that work for customers.
As our Compliance Business Partner for Asset Management, you’ll be the lead Compliance partner to AJ Bell Asset Management, working across our funds, model portfolios and wider investment propositions.
You’ll combine strong regulatory expertise with commercial understanding, providing practical advice and constructive, independent challenge.
Your work will help us manage regulatory risk, strengthen customer outcomes and build the trust and confidence at the heart of Feel Good Investing.
What you'll do
- Be the lead Compliance partner for AJ Bell Asset Management, building trusted relationships and developing a strong understanding of its strategy, products and priorities.
- Interpret FCA requirements and regulatory change, turning complex regulation into clear, practical advice that supports good decision-making.
- Advise on new and evolving funds, model portfolios and investment propositions, including fees, MPS distribution, UK UCITS and NURS funds, host ACD arrangements and segregated mandates.
- Provide independent advice and challenge on Consumer Duty and product governance, including target markets, fair value, distribution arrangements and evidence of customer outcomes.
- Oversee and challenge key investment compliance controls, including mandate compliance, eligible assets, investment limits, best execution and regulatory and transaction reporting.
- Support the assessment of regulatory breaches and incidents, considering customer impact, root cause, remediation, escalation and potential regulatory notifications.
- Bring specialist asset management expertise to governance, Compliance Monitoring and thematic reviews, constructively challenging regulatory assessments and proposed actions.
- Make complex regulatory matters easier to understand through clear advice, briefings and training, working collaboratively while maintaining the independence expected of the second line.
What you'll bring
- Relevant Compliance, Risk, Legal or control experience within an FCA-regulated asset manager, discretionary fund manager, ACD or comparable investment business.
- Strong knowledge of the FCA regulatory framework relevant to asset management, including Consumer Duty, PRIN, SYSC, COBS, COLL, PROD and SUP.
- A good understanding of discretionary portfolio management, model portfolios, UK UCITS and NURS funds, including the roles of investment managers, ACDs, depositaries and distributors.
- Experience of product governance and distribution, ideally covering areas such as MPS, adviser distribution, tailored propositions, white-labelling or co-manufacturing.
- Good knowledge of investment compliance, including regulatory and mandate restrictions, investment limits, eligible assets, best execution, regulatory reporting and breach management.
- Sound regulatory judgement and the confidence to ask challenging questions, test assumptions and reach balanced, well-evidenced conclusions.
- Strong communication and relationship-building skills, with the ability to make complex issues clear and relevant for different audiences, including senior stakeholders.
- Knowledge of Sustainability Disclosure Requirements (SDR) and anti-greenwashing requirements would be useful, as would a relevant degree or professional qualification.
- About AJ Bell
At AJ Bell, we believe investing should feel good.
Whether you're looking for an ISA, pension or dealing account, whether you want to invest with the help of a financial adviser or do it yourself, we have easy-to-use solutions to suit people from all walks of life.
We're one of the UK's fastest-growing investment platform businesses, trusted by everyone from professional financial advisers to first-time investors.
Today, over 762,000customers trust us to manage more than £121.5billion of assets.
By continually striving to make investing simpler and more accessible, we're helping more people take control of their financial futures.
We're proud to be recognised as one of the UK's Best 100 Companies to Work For for six consecutive years, and a Great Place to Work® in 2025 and 2026, a reflection of our supportive and collaborative culture.
What we offer
- 27 days holiday, increasing with service + buy/sell scheme + bank holidays
- 8% Pension with matched contributions
- Discretionary bonus scheme
- Share schemes (including free shares and BAYE)
- Health Cash Plan and discounted private healthcare
- Enhanced family leave (subject to qualifying criteria)
- Travel and bike loan schemes
- Employee Assistance Programme
- Life at AJ Bell
- Regular social events including summer and Christmas parties
- Learning and development opportunities tailored to you
- Casual dress code
- Friendly, supportive team environment
- Our ways of working
We offer hybrid working, with a minimum of50% of your working time per monthspent in the office.
For new starters, there is an initial period of full-time office working to help you settle in and build relationships.
Inclusion & diversity
We’re committed to creating an inclusive environment where everyone feels respected and able to be themselves at work.
We welcome applications from all backgrounds and make hiring decisions based on skills, experience, and potential.
Compliance Business Partner – Asset Management in London employer: AJ Bell
AJ Bell is an exceptional employer located in Manchester, offering a supportive and collaborative work culture that prioritises employee well-being and growth. With competitive salaries, generous holiday allowances, and tailored learning opportunities, employees are encouraged to thrive both personally and professionally. The company’s commitment to inclusivity and its recognition as one of the UK’s Best 100 Companies to Work For make it an attractive place for those seeking meaningful and rewarding employment in the finance sector.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Business Partner – Asset Management in London
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like AJ Bell looking for candidates who are engaged and informed.
We think you need these skills to ace Compliance Business Partner – Asset Management in London
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at AJ Bell. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at AJ Bell
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with AJ Bell’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
