My client is a specialist real assets alternative asset manager

Reporting to the Head of Compliance, the successful candidate will lead all key day-to-day compliance regulatory functions across a UK FCA-regulated entity and co-manage two staff members

The role includes providing timely and concise regulatory advice catering to the needs of the business, ensuring completion of the compliance monitoring program, signing off financial promotions, responding to investor queries, delivering training, and approving employee requests where appropriate

Building strong relationships with key stakeholders is essential. The goal of the Compliance Team is to be proactive, forward-facing, and evidence-based

Key Responsibilities/ Accountabilities

Compliance Advisory Lead responses to day-to-day queries from the business, escalating internally as necessary Partner with the Head of Compliance to implement new regulatory requirements Monitor regulatory updates and assess potential impacts on the business

Compliance Monitoring Plan Own, review, and update the compliance & risk monitoring program to reflect key regulatory risks Ensure timely completion and escalate breaches or risks as appropriate