Investment Compliance Manager

• Design and maintain a risk-based Investment Compliance Oversight Framework


• Provide second-line oversight of investment governance, portfolio management controls and product governance arrangements


• Deliver compliance monitoring and assurance activity across investment operations and governance processes


• Assess and report on regulatory risks, client outcomes and control effectiveness


• Monitor compliance with FCA requirements, Consumer Duty, COBS, MiFID II and product governance requirements


• Produce management information, governance papers and regulatory reports for senior stakeholders and committees


• Support the development and enhancement of investment-related policies, procedures and controls


• Provide effective challenge and guidance to business stakeholders on regulatory and conduct matters


• Identify emerging risks, breaches, trends and control weaknesses, ensuring appropriate escalation and remediation


• Support regulatory change initiatives, thematic reviews and investment compliance projects

Requirements

• A Level 4 Diploma or equivalent qualification in financial planning, investments or compliance


• Strong knowledge of FCA regulations relating to investments, MPS, Consumer Duty, COBS, MiFID II and product governance


• Experience operating compliance monitoring programmes, assurance frameworks or second-line oversight functions


• A detailed understanding of investment governance, portfolio management and adviser distribution models
  
• Experience producing high-quality compliance reports and board-level management information


• Excellent analytical, communication and stakeholder management skills


• The confidence to provide constructive challenge while building effective working relationships across the business


• Strong organisational skills and the ability to manage multiple priorities in a fast-paced environment

Core Competencies

Demonstrates expertise in Investment Compliance Oversight, including the design and maintenance of risk-based frameworks, compliance monitoring, and regulatory reporting. Proficient in FCA regulations, investment governance, and stakeholder management, ensuring effective challenge and guidance on compliance matters.

Highest-signal resume keywords

• Investment Compliance Oversight Framework


• FCA Regulations


• Compliance Monitoring Programmes


• Regulatory Reporting


• Stakeholder Management

ATS Optimization Keywords
Hard Skills

• Risk-Based Framework Design


• Compliance Monitoring


• Regulatory Risk Assessment


• Investment Governance


• Portfolio Management Controls


• Product Governance


• Compliance Assurance


• Management Information Production


• Regulatory Change Initiatives


• Thematic Reviews

Soft Skills

• Analytical Skills


• Communication Skills


• Organizational Skills


• Constructive Challenge


• Relationship Building

Certifications & Qualifications

• Level 4 Diploma in Financial Planning


• Level 4 Diploma in Investments


• Level 4 Diploma in Compliance

Industry Keywords

• FCA Requirements


• Consumer Duty


• COBS


• MiFID II


• Adviser Distribution Models