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.

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