This job is with St. James's Place, an inclusive employer and a member of myGwork – the largest global platform for the LGBTQ+ business community. Please do not contact the recruiter directly.
About the role:
We're looking for an experienced Compliance professional to join our Investment Compliance team as a Senior Compliance Advisory Officer and Deputy to the Head of Investment Compliance.
This is a highly visible second line role, providing independent regulatory advice, oversight and challenge across our investment business. Working closely with the Head of Investment Compliance, you will help shape the organisation's approach to regulatory risk, support senior business leaders and play a key role in maintaining a strong culture of compliance and good customer outcomes.
The successful candidate will have the opportunity to influence strategic decision-making, engage with senior governance forums and develop towards a future leadership role within Risk & Compliance
What you'll be doing:
- Working with the Head of Investment Compliance to provide sound regulatory advice and subject matter expertise to the business.
- Taking the initiative on enhancements and improvements to the activities of the team, and ensuring that any matters deemed non-compliant' or at risk of being non compliant are noted and triaged for further investigation.
- Lead collaborative work and provide thought leadership with senior business leaders to establish "in-house views" on material complex and sometimes contentious issues.
- Maintain a core understanding of the regulatory priorities and issues including but not limited to COLL, COBS, SYSC, CASS, AIFMD and Other regulations pertinent to an Authorised Fund Manager.
- Provide input to Group policies and ensure investment requirements are adequately represented in these..
- Provide SME advice and oversight of complex business change initiatives and BAU decision-making.
- Leading independent Compliance assessments regarding Conduct and Regulatory risks, informing Board Reporting.
- Present, where appropriate, on regulatory issues to the SJPUTG Board, ExCo and other relevant governance and management fora and engage with the leadership team and wider business on regulatory issues.
- Oversight of breaches management, including reviewing the log, ensuring matters are close don a timely basis and hosting fortnightly breach assessment meetings.
- Supporting staff and management in their training, understanding and awareness of Regulatory and Conduct risks.
- Highlight and escalate gaps in business adherence to and effective application of internal policies, procedures, and regulatory requirements.
- Lead by example to foster a culture of compliance across SJP. Work collaboratively with Risk Teams, Compliance Monitoring, other Compliance Leaders and Regulatory engagement to provide insights and support activities.
About you:
You will be a confident and credible Compliance professional with significant experience operating within a regulated investment or asset management environment, preferably within the funds space.
You'll combine strong technical expertise with excellent communication skills and the ability to build trusted relationships with stakeholders at all levels. Comfortable providing constructive challenge, you'll enjoy solving complex problems, influencing decisions and helping the business achieve compliant outcomes.
You'll have the gravitas and judgement to engage effectively with senior leaders while maintaining a pragmatic and solutions-focused approach.
Essential Criteria:
- Significant Compliance experience within an Authorised Fund Manager (AFM).
- Strong knowledge of FCA regulatory requirements, particularly COLL, COBS, SYSC & PROD
- Experience providing second line compliance advice, oversight and challenge.
- Strong understanding of investment products, fund structures and regulatory governance frameworks.
- Ability to interpret regulation and translate complex requirements into clear, practical business guidance.
- Excellent written, verbal and presentation skills, with the ability to communicate effectively with senior stakeholders.
- Strong stakeholder management and influencing skills.
- Proven problem-solving capability with a pragmatic and risk-based approach.
- Ability to represent Compliance with credibility, confidence and gravitas.
Senior Compliance Advisory Officer employer: St. James's Place
At SJP, we pride ourselves on being an exceptional employer, offering a dynamic hybrid work environment in Cirencester or Bristol that fosters collaboration and professional growth. Our commitment to employee development is evident through continuous training opportunities and a supportive culture that values integrity and excellence, ensuring you thrive while delivering expert technical support in the fast-paced financial services sector. With competitive benefits, including a generous parental leave policy and a discretionary bonus scheme, we empower our team to achieve both personal and professional success.
