Compliance Advisory Officer

Are you ready tochart your own career path With our refreshed strategy were building on our rich heritage and transforming our business to be more scalable and efficient unlocking the capabilities needed for future success. This includes significantly investing in technology streamlining the way we work and creating an environment where colleagues feel engaged empowered and accountable; where they can show up speak up and perform - because we believe in the difference our work makes.

At a glance:

Location:London - Lombard Street Office

Workplace Type:Hybrid

Employment Type:Permanent

Seniority:Mid-Senior Level

Were looking for a Compliance Advisory Officer to join our Investment Compliance team within the Risk & Compliance this role youll work closely with senior stakeholders across the business helping to navigate complex regulatory requirements while supporting strong customer outcomes and effective risk management.

This is an excellent opportunity for someone with compliance experience within an Authorised Fund Manager (AFM) or similar environment who wants to broaden their influence contribute to key business initiatives and help shape regulatory thinking across the organisation.

• Working with the Head of Investment Compliance and the Deputy to provide sound regulatory advice and subject matter expertise to the business.
• Ensuring that matters that create a risk of non-compliant outcomes are managed through to closure.
• Support compliance reviews and projects including reviews of SJPUTGs compliance with applicable regulations as deemed appropriate by the Head of Compliance. This will involve liaising with the first line and the ability to summarise findings and provide an informed view.
• Contribute to the teams 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 PROD PRIN and AIFMD and other regulations pertinent to an Authorised Fund Manager.
• Carry out compliance reviews of scheme documents IMAs and fund factsheets ensure findings are recorded appropriately and reported back to the relevant team for action.
• Build good working relationships with operational teams across the business not limited to SJPUTG. Engage with colleagues in other compliance teams as appropriate. Liaison with Middle Office is particularly important.
• Maintain audit trail of documents reviewed and matters raised as a result of the review.
• Support the team with oversight of breaches management including reviewing breach logs ensuring matters are closed on a timely basis and hosting fortnightly breach assessment meetings when the deputy is unavailable.
• Highlight and escalate gaps in business adherence to and effective application of internal policies procedures and regulatory requirements.
• Participate in the regular review of SJPUTGs policies and procedures as required by the compliance team or the business.
• 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.

Youll be an experienced compliance professional with a strong understanding of investment regulation and a passion for providing pragmatic regulatory advice.

• Compliance experience gained within an Authorised Fund Manager (AFM) or similar investment management environment.
• Strong knowledge of relevant FCA regulations particularly COLL COBS PROD SYSC PRIN CASS and AIFMD.
• The ability to identify assess and escalate regulatory and conduct risks.
• Experience reviewing investment and scheme documentation and delivering risk-based opinions.
• Excellent communication skills with the ability to translate complex regulatory requirements into practical guidance.
• Strong stakeholder management skills and the confidence to influence and challenge constructively.
• A proactive solutions-focused approach and the ability to thrive in a fast-paced environment.

Whats in it for you

Whatever stage of life youre in our benefits are designed to provide the support flexibility and peace of mind you need to thrive both at work and beyond.

In addition to our discretionary annual bonus scheme which reflects both individual and company performance youll benefit from a market-leading benefits package tailored to support your wellbeing financial security and family life.

Our benefits include:

• 28 days annual leave plus bank holidays with the option to purchase up to 5 additional days.

• Private Medical Insurance company-funded cover for you and your immediate family
• Generous Pension Scheme a non-contributory employer contribution of 10% increasing with length of service up to 15% plus the opportunity to increase this through salary sacrifice
• Enhanced Parental Leave up to 26 weeks full pay to support growing families.
• Protection Benefits company-funded critical illness cover income protection and life assurance
• EV salary sacrifice scheme through Tusker

Reasonable Adjustments
Were 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.

Whats next

If youre excitedabout this role and believe you have the skills and experience were lookingfor wed love to hear from you! Please submit an application by clickingapply 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.

Required Experience:

Unclear Seniority