VP Compliance Manager in City of London

This role sits at the centre of the UK Compliance function, supporting the Director, Compliance Program in the planning, coordination, and delivery of key Compliance activities. The role is responsible for ensuring that Compliance priorities are clearly defined, translated into a structured plan, and delivered effectively by the UK and wider Europe Compliance team. It also oversees core processes including Compliance reporting, Compliance training and regulatory submissions. The role acts as a central point of coordination across Europe Compliance, ensuring outputs are timely, consistent, and of a standard suitable for senior management, boards/committees and regulators.

Responsibilities

• Compliance planning and management
  • Support the Director, Compliance Program in defining and prioritising the Compliance agenda.
  • Translate priorities into a structured Annual Compliance Plan, with defined ownership and timelines.
  • Track progress against the Compliance Plan, including identification and escalation of risks, delays, and dependencies.
  • Maintain oversight of key Compliance initiatives, ensuring coordination across teams and alignment with broader regulatory priorities.
• Compliance reporting
  • Own the end-to-end process for UK Compliance reporting.
  • Work with a graduate trainee to:
  • Collate and review inputs through centralised reporting tool.
  • Challenge and refine submissions from stakeholders.
  • Produce clear, concise and board-ready reporting outputs.
  • Leverage technology, including AI-enabled tools, to improve consistency, clarity, and efficiency of reporting.
  • Ensure reporting reflects key risk themes and is aligned to senior management expectations.
• Regulatory
  • Coordinate and submit regulatory reports and notifications to UK, EU, and North American regulators.
  • Manage relevant interactions with regulators including making submissions.
  • Ensure regulatory communications are accurate, complete, and delivered in a timely manner.
  • Maintain FCA Connect permissions.
• Compliance training
  • Coordinate the UK Compliance training program.
  • Support the Director, Compliance Program in:
  • Annual training planning.
  • Scheduling and execution of training activities.
  • Co-ordinating training with Europe Compliance Advisory and other stakeholders.
  • Draft and update training materials.
  • Ensure content reflects current regulatory requirements and internal priorities.
  • Deliver or support delivery of Compliance induction training as required.
• Core Compliance
  • Oversee maintenance of key Compliance registers (including breaches and conflicts of interest).
  • Track audit and Compliance findings, ensuring progress is monitored and reported.
  • Support Personal Account Dealing processes, including liaison with the Control Room.
  • Provide back-up support to core monitoring activities (e.g. e-communications, voice surveillance) as required.
• Stakeholder management
  • Act as a central point of contact for core Compliance processes.
  • Build effective working relationships across:
  • Compliance Advisory teams.
  • Front Office Control functions and global stakeholders.
  • Facilitate coordination across teams to deliver consistent and high-quality outputs.
• Technology, automation and data capability
  • Leverage technology to enhance the efficiency, quality, and consistency of Compliance processes and outputs.
  • Use advanced Microsoft Office capabilities (Excel, PowerPoint, Word) to produce high-quality materials, including structured reporting, dashboards, and organisational charts.
  • Utilise data and visualisation tools (e.g. Power BI) to support reporting, analysis, and insight where appropriate.
  • Apply AI tools to improve productivity across key activities (including reporting, drafting, and data analysis), ensuring outputs remain accurate and appropriate for governance and regulatory use.
  • Identify and implement opportunities to automate and streamline processes across the Compliance function.
  • Promote the effective use of AI and automation within the team, including supporting colleagues in adopting these tools and embedding improved ways of working.