Senior Compliance Advisory Officer

Posted on: 04/08/2025 - Application Deadline: 18/08/2025

Are you ready tochart your own career path? At SJP we need talented individuals like yourselfto support our evolving culture. If you're seeking an employer that ispassionate about excellence, innovation and autonomy, SJP could be the placefor you.

At a glance:

Location: London - Paddington

Workplace Type: Hybrid

Employment Type: Permanent

Seniority: Mid-Senior Level

What you'll be doing:

This is an opportunity to join the Risk & Compliance Division as a Senior Compliance Advisory Officer. Based in either our Cirencester or London office (with hybrid working), you'll play a key role in delivering high-quality compliance oversight and advice across the SJP Group. You will work closely with senior business leaders and risk stakeholders, acting as a trusted adviser on regulatory matters and helping to embed a culture of good conduct and regulatory compliance.

Key Responsibilities:

• Provide strategic regulatory and conduct risk advice, particularly in relation to Consumer Duty, COBS, CASS, and Fund Management.
• Partner with business leaders to develop informed internal views on complex regulatory matters.
• Deliver oversight through formal governance processes, including RCSA, Consumer Duty reporting, and Product Governance.
• Lead independent compliance assessments and contribute to Board and ExCo reporting.
• Offer expert input on business change projects and support strategic decision-making from a regulatory lens.
• Drive the creation, review, and maintenance of key compliance policies and frameworks.
• Support internal understanding of conduct and regulatory requirements through training and mentoring.
• Promote a strong compliance culture and collaborate with key functions including Risk, Monitoring, Assurance, and Regulatory Change.

Who we're looking for:

We're looking for a confident, strategic thinker with in-depth regulatory knowledge and strong communication skills. You'll thrive in a collaborative environment and be comfortable influencing senior stakeholders across the business. The ideal candidate will be someone who combines technical compliance expertise with a solutions-focused mindset and a passion for driving good customer outcomes.

Skills & Experience:

• Significant demonstrable experience in a Compliance Advisory role covering retail investment products or advice.
• Strong understanding of the FCA's conduct framework, including Consumer Duty, COBS, and other applicable rules.
• Proven ability to assess and challenge regulatory risk, and provide clear, well-reasoned compliance advice.
• Excellent communication skills, including the ability to present to senior management and governance forums.
• Familiarity with risk frameworks and tools such as RCSA, and a solid understanding of the three lines of defence model.
• Experience overseeing Appointed Representatives or fund manufacturing activities.
• Knowledge of fund management rules (e.g. COLL) or custody services.
• Relevant compliance or legal qualifications (e.g. ICA, CISI).

What's in it for you?

We reward youfor the work you do, whether that's through our discretionary annual bonus scheme that reflects bothpersonal and company performance, competitive annual leave allowance (28 daysplus bank holidays, with the option to purchase an additional 5 days), oronline rewards platform with a variety of discounts.
We also havebenefits to support whatever stage of life you are in, including:

• Competitive parental leave (26 weeks full pay)
• Private medical insurance (optional taxable benefit)
• 10% non-contributory pension (increasing with length of service)

Reasonable Adjustments
We're an equalopportunities employer and want to ensure our recruitment process is accessibleand inclusive for all, if you require reasonable adjustment(s) at any stageplease let us know by emailing us at
Research tells usthat applicants (especially those from underrepresented groups) can be put offfrom applying for a role if they do not meet all the criteria or have been onan extended career-break. If you think you would be a good match for this role andcan demonstrate some transferable experience please apply, regardless ofwhether you tick every box.

What's next?

If you're excitedabout this role and believe you have the skills and experience we're lookingfor, we'd love to hear from you! Please submit an application by clicking'apply' below and our team will be in touch.
As a businessregulated by the FCA we would advise you to familiarise yourself with theconduct regulations and in particular consumer duty obligations prior to aninterview with SJP.