At a Glance
- Tasks: Provide regulatory advice and support compliance across investment operations.
- Company: Leading UK investment organisation with a focus on compliance and governance.
- Benefits: Competitive salary, potential for higher pay, and comprehensive benefits package.
- Other info: Collaborative culture with opportunities for professional growth and development.
- Why this job: Shape the compliance culture and make a real impact in a dynamic environment.
- Qualifications: Experience in regulatory compliance within investment management and strong analytical skills.
The predicted salary is between 42000 - 60000 £ per year.
A leading UK investment organisation is seeking a Compliance Manager to join its expanding Risk & Compliance function. This is an exciting opportunity to work in a second line oversight role, partnering closely with investment, operations, and governance teams to ensure robust regulatory compliance and strong conduct culture across the business.
About the Role
The Compliance Officer (Advisory) will provide high-quality regulatory advice, challenge, and support across the organisation, ensuring adherence to FCA requirements, conduct and financial crime standards, and broader regulatory obligations. You will play a key role in supporting regulatory change, maintaining oversight of compliance frameworks, and contributing to the delivery of accurate and timely regulatory reporting. Working alongside the Head of Compliance & MLRO and Senior Compliance Managers, you will help shape the organisation’s compliance environment and drive a positive compliance culture.
Key Responsibilities
- Advisory & Oversight
- Provide day-to-day compliance advice across the business on regulatory matters including COBS, SYSC, COLL, FUND and Best Execution.
- Support the development and maintenance of a Compliance Obligations Register.
- Assist in preparing materials for governance committees and regulatory working groups.
- Support horizon scanning activities and maintain associated tracking of regulatory developments.
- Review internal due diligence relating to investment activities.
- Assist with internal and external audit (including CASS) engagements by coordinating information requests and documentation.
- Monitoring, Reporting & Controls
- Support regulatory reporting processes, ensuring submissions are accurate and timely.
- Maintain oversight of breach management processes, including reviewing incidents, maintaining records, and preparing MI for governance forums.
- Contribute to the effective operation of regulatory risk, conduct, and anti-financial crime frameworks.
- People & Culture
- Support constructive relationships with the regulator and external partners.
- Promote a strong compliance and conduct culture across the organisation.
- Identify and contribute to capability development across the Risk & Compliance team.
Skills & Experience Required
- Experience providing regulatory compliance and conduct advice within investment management, or similar regulated environments.
- Strong working knowledge of FCA regulatory requirements relevant to institutional investment management.
- Experience supporting or overseeing compliance and conduct-related control frameworks.
- Excellent communication, analytical, organisational and stakeholder-management skills.
- High integrity, sound judgement, and the ability to challenge effectively.
- Strong IT proficiency and practical understanding of institutional investment processes.
- Experience in financial crime, internal audit, or related oversight activities.
- Understanding of data protection and information management regulations.
Values & Culture
The successful candidate will demonstrate behaviours aligned to: Integrity – doing the right thing for customers and stakeholders; Collaboration – working positively across teams and functions; Sustainability – supporting long‑term responsible investment and governance.
Compliance Manager (Advisory) in Leeds employer: MERJE
Join a dynamic and innovative InsureTech company that prioritises compliance and regulatory excellence while fostering a collaborative and forward-thinking work culture. As the Head of Compliance, you will not only lead the UK compliance function but also enjoy flexible hybrid working arrangements, competitive salary packages, and ample opportunities for long-term career development in a high-growth environment. This is your chance to make a meaningful impact in a pivotal role at a company that values integrity and consumer protection.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Manager (Advisory) in Leeds
✨Network Like a Pro
Get out there and connect with people in the industry! Attend events, join online forums, and don’t be shy about reaching out on LinkedIn. We all know that sometimes it’s not just what you know, but who you know that can help you land that Compliance Manager role.
✨Ace the Interview
Prepare for your interviews by researching the company and its compliance culture. Think about how your experience aligns with their needs and be ready to share specific examples. We want you to show them you’re not just a fit, but the perfect fit for their team!
✨Follow Up
After your interview, don’t forget to send a thank-you email! It’s a great way to express your appreciation and reiterate your interest in the role. We believe this small gesture can make a big difference in keeping you top of mind for the hiring team.
✨Apply Through Our Website
Make sure to apply directly through our website for the best chance at landing that Compliance Manager position. We’ve designed our application process to be straightforward and user-friendly, so take advantage of it and get your application in!
We think you need these skills to ace Compliance Manager (Advisory) in Leeds
Some tips for your application 🫡
Tailor Your CV:Make sure your CV is tailored to the Compliance Manager role. Highlight your experience in regulatory compliance and conduct advice, especially within investment management. We want to see how your skills align with our needs!
Craft a Compelling Cover Letter:Your cover letter is your chance to shine! Use it to explain why you're the perfect fit for this role. Share specific examples of how you've supported compliance frameworks or managed regulatory changes in the past. We love a good story!
Showcase Your Skills:Don’t forget to showcase your communication, analytical, and stakeholder-management skills in your application. These are key for the Compliance Manager position, so let us know how you’ve used them effectively in previous roles.
Apply Through Our Website:We encourage you to apply through our website for a smoother process. It helps us keep track of your application and ensures you don’t miss out on any important updates. Plus, we love seeing applications come directly from our site!
How to prepare for a job interview at MERJE
✨Know Your Regulations
Make sure you brush up on FCA regulations and compliance frameworks relevant to investment management. Being able to discuss specific regulations like COBS, SYSC, and COLL will show that you're not just familiar with the basics but are ready to dive deep into the role.
✨Showcase Your Advisory Skills
Prepare examples of how you've provided regulatory advice in previous roles. Think about situations where you challenged decisions or supported compliance initiatives. This will demonstrate your ability to contribute effectively to the compliance culture they’re looking to promote.
✨Be Ready for Scenario Questions
Expect questions that put you in hypothetical situations related to compliance challenges. Practise articulating your thought process and decision-making skills in these scenarios, as it will highlight your analytical abilities and sound judgement.
✨Highlight Your Stakeholder Management Experience
Since this role involves working closely with various teams, be prepared to discuss how you've built relationships with stakeholders in the past. Share specific examples of how you’ve collaborated across functions to achieve compliance goals, as this aligns with their value of collaboration.
