- Design and maintain a risk-based Investment Compliance Oversight Framework
- Provide second-line oversight of investment governance, portfolio management controls and product governance arrangements
- Deliver compliance monitoring and assurance activity across investment operations and governance processes
- Assess and report on regulatory risks, client outcomes and control effectiveness
- Monitor compliance with FCA requirements, Consumer Duty, COBS, MiFID II and product governance requirements
- Produce management information, governance papers and regulatory reports for senior stakeholders and committees
- Support the development and enhancement of investment-related policies, procedures and controls
- Provide effective challenge and guidance to business stakeholders on regulatory and conduct matters
- Identify emerging risks, breaches, trends and control weaknesses, ensuring appropriate escalation and remediation
- Support regulatory change initiatives, thematic reviews and investment compliance projects
Requirements
- A Level 4 Diploma or equivalent qualification in financial planning, investments or compliance
- Strong knowledge of FCA regulations relating to investments, MPS, Consumer Duty, COBS, MiFID II and product governance
- Experience operating compliance monitoring programmes, assurance frameworks or second-line oversight functions
- A detailed understanding of investment governance, portfolio management and adviser distribution models
- Experience producing high-quality compliance reports and board-level management information
- Excellent analytical, communication and stakeholder management skills
- The confidence to provide constructive challenge while building effective working relationships across the business
- Strong organisational skills and the ability to manage multiple priorities in a fast-paced environment
Core Competencies
Demonstrates expertise in Investment Compliance Oversight, including the design and maintenance of risk-based frameworks, compliance monitoring, and regulatory reporting. Proficient in FCA regulations, investment governance, and stakeholder management, ensuring effective challenge and guidance on compliance matters.
Highest-signal resume keywords
- Investment Compliance Oversight Framework
- FCA Regulations
- Compliance Monitoring Programmes
- Regulatory Reporting
- Stakeholder Management
ATS Optimization Keywords
Hard Skills
- Risk-Based Framework Design
- Compliance Monitoring
- Regulatory Risk Assessment
- Investment Governance
- Portfolio Management Controls
- Product Governance
- Compliance Assurance
- Management Information Production
- Regulatory Change Initiatives
- Thematic Reviews
Soft Skills
- Analytical Skills
- Communication Skills
- Organizational Skills
- Constructive Challenge
- Relationship Building
Certifications & Qualifications
- Level 4 Diploma in Financial Planning
- Level 4 Diploma in Investments
- Level 4 Diploma in Compliance
Industry Keywords
- FCA Requirements
- Consumer Duty
- COBS
- MiFID II
- Adviser Distribution Models
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Investment Compliance Manager in Horsham employer: Jobtailor
As a Client Services Coordinator at our dynamic company, you will thrive in a supportive work culture that prioritises employee growth and development. We offer comprehensive training, opportunities for advancement, and a collaborative environment where your contributions are valued. Located in a vibrant area, our team enjoys a healthy work-life balance and the chance to engage with diverse clients, making every day rewarding and meaningful.
