At a Glance
- Tasks: Provide regulatory advice and oversight in a dynamic investment compliance team.
- Company: Join St. James's Place, an inclusive employer committed to diversity.
- Benefits: Competitive salary, professional development, and opportunities for leadership growth.
- Other info: Engage with senior leaders and contribute to a collaborative work culture.
- Why this job: Influence strategic decisions and foster a strong culture of compliance.
- Qualifications: Significant compliance experience in regulated investment environments and strong communication skills.
The predicted salary is between 56700 - 69300 £ per year.
This job is with St.
James's Place, an inclusive employer and a member of my Gwork – 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, Ex Co 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
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.
StudySmarter Expert Advice🤫
We think this is how you could land Senior Compliance Advisory Officer
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like St. James's Place looking for candidates who are engaged and informed.
We think you need these skills to ace Senior Compliance Advisory Officer
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at St. James's Place. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at St. James's Place
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with St. James's Place’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
