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 a Compliance Advisory Officer to join our Investment Compliance team within the Risk & Compliance Division. In this role, you'll work closely with senior stakeholders across the business, helping to navigate complex regulatory requirements while supporting strong customer outcomes and effective risk management.
This is an excellent opportunity for someone with compliance experience within an Authorised Fund Manager (AFM) or similar environment who wants to broaden their influence, contribute to key business initiatives, and help shape regulatory thinking across the organisation.
What you'll be doing:
- Working with the Head of Investment Compliance and the Deputy to provide sound regulatory advice and subject matter expertise to the business.
- Ensuring that matters that create a risk of non-compliant outcomes are managed through to closure.
- Support compliance reviews and projects, including reviews of SJPUTG's compliance with applicable regulations, as deemed appropriate by the Head of Compliance. This will involve liaising with the first line and the ability to summarise findings and provide an informed view.
- Contribute to the team's 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, PROD, PRIN and AIFMD and other regulations pertinent to an Authorised Fund Manager.
- Carry out compliance reviews of scheme documents, IMAs and fund factsheets, ensure findings are recorded appropriately and reported back to the relevant team for action.
- Build good working relationships with operational teams across the business, not limited to SJPUTG. Engage with colleagues in other compliance teams as appropriate. Liaison with Middle Office is particularly important.
- Maintain audit trail of documents reviewed and matters raised as a result of the review.
- Support the team with oversight of breaches management, including reviewing breach logs, ensuring matters are closed on a timely basis and hosting fortnightly breach assessment meetings when the deputy is unavailable.
- Highlight and escalate gaps in business adherence to and effective application of internal policies, procedures, and regulatory requirements.
- Participate in the regular review of SJPUTG's policies and procedures, as required by the compliance team or the business.
- 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'll be an experienced compliance professional with a strong understanding of investment regulation and a passion for providing pragmatic regulatory advice.
Essential Criteria:
- Compliance experience gained within an Authorised Fund Manager (AFM) or similar investment management environment.
- Strong knowledge of relevant FCA regulations, particularly COLL, COBS, PROD, SYSC, PRIN, CASS and AIFMD.
- The ability to identify, assess and escalate regulatory and conduct risks.
- Experience reviewing investment and scheme documentation and delivering risk-based opinions.
- Excellent communication skills, with the ability to translate complex regulatory requirements into practical guidance.
- Strong stakeholder management skills and the confidence to influence and challenge constructively.
- A proactive, solutions-focused approach and the ability to thrive in a fast-paced environment.
Compliance Advisory Officer employer: St. James's Place
St. James’s Place is an excellent employer, offering a dynamic work culture that prioritises employee well-being and professional growth. Located in Cirencester, this hybrid role as a Data Privacy Manager not only provides competitive benefits such as parental leave and health insurance but also fosters an environment where employees can thrive through collaboration and engagement with diverse stakeholders in the regulated financial services sector.
