Investment Compliance Manager
EXCLUSIVE APPOINTMENT | INVESTMENT COMPLIANCE MANAGER
South / South East | Hybrid
12-Month FTC | Potential to become permanent
Phoenix Talent Partners is exclusively representing a leading UK wealth and investment business in the appointment of an experienced Investment Compliance Manager .
This is a genuine build-and-implement project — an opportunity to develop and embed a robust second-line investment compliance and Managed Portfolio oversight framework , rather than simply maintain an established programme.
THE ROLE
You’ll take ownership of developing and implementing the investment compliance framework, providing independent oversight and constructive challenge across:
- Wealth & investment governance
- MPS oversight and portfolio controls
- Compliance monitoring and assurance
- Product governance & Consumer Duty
- Client outcomes and suitability
- Regulatory risk, issues and escalation
- Policies, procedures and controls
- MI, governance reporting and senior stakeholder engagement
THE PERSON
We’re looking for an experienced investment compliance professional with:
- Strong FCA / COBS / MiFID II / Consumer Duty knowledge
- Experience within wealth management, investment or MPS environments
- Experience building or operating compliance monitoring / assurance frameworks
- Strong understanding of investment governance and regulatory risk
- Excellent analytical, communication and stakeholder management skills
- Confidence providing effective second-line challenge
A relevant Level 4 qualification is required, with a recognised investment qualification highly desirable.
THE OPPORTUNITY
A chance to build something, make it your own and take it from design through to implementation and embedding within a growing wealth and investment business.
12-month FTC | Potential for permanent
Hybrid | South / South East
Exclusive appointment through Phoenix Talent Partners
If you’re an investment compliance professional who enjoys building, implementing and improving , I’d love to have a confidential conversation.
Contact Phoenix Talent Partners for further details.
Client details available upon confidential discussion.
#InvestmentCompliance #WealthManagement #Investment #FinancialServices #MPS #Compliance #ConsumerDuty #InvestmentManagement #ComplianceJobs #PhoenixTalentPartners