Compliance & Risk Manager

The Company

A fast growing technology company that provides an end-to-end financial planning platform for financial advisers (our clients), including modules for risk profiling, cashflow modelling, investment analytics and Model Portfolio Service with over £11bn in assets under management.

Our technology cuts out unnecessary costs, inefficiencies and anxiety for advisers, while improving the long-term investment returns for their clients.

As a scaling company, the only thing that is guaranteed is unpredictability. Curve balls, adapting and developing are the norm. If you're looking for a company where everything is mapped out for you, then we may not be the right fit for you.

However, if you're after a dynamic company where you will make a real difference then read on!

The Role

We are seeking a dynamic and strategic Compliance & Risk Manager to support the Head of Risk & Compliance in overseeing the firm's regulatory obligations, risk management framework and governance processes. This role is pivotal in ensuring the firm maintains robust compliance with FCA requirements, particularly under MiFID II, Consumer Duty, SM&CR, and CASS, while proactively managing operational and conduct risks across the business.

Role Responsibilities

• Maintain and enhance the firm's Compliance Monitoring Plan (CMP) and regulatory risk register
• Conduct thematic reviews, surveillance, and testing aligned to FCA expectations and internal policies
• Draft, maintain and communicate regulatory policies, procedures, and disclosures (e.g., Terms of Business, risk warnings)
• Scan for regulatory developments. Assess the impact on company operations, products, and clients; support the company in implementation
• Support FCA reporting, authorisation updates, and supervisory engagement
• Provide compliance input into product governance, financial promotions and client communications
• Maintain and evolve the firm's enterprise risk framework, including risk appetite statements and KRIs. Collaborate with internal stakeholders to identify, assess, and mitigate emerging risks
• Lead and coordinate quarterly risk assessments and incident reporting across business units
• Support ICARA, scenario stress testing and wind-down planning processes
• Prepare board and committee papers on compliance and risk matters
• Support SM&CR oversight, including fitness & propriety assessments and conduct rule training
• Champion a culture of compliance and ethical conduct across the company

Role Requirements

Core knowledge & experience:

• 6+ years experience in a compliance role within an FCA-regulated investment firm
• Strong working knowledge of FCA rules including COBS, SYSC, CASS, and PRIN
• Familiarity with MiFID II, Consumer Duty, ICARA, SM&CR, and ESG-related regulatory developments
• Excellent stakeholder management skills
• Excellent written and verbal communication skills, with ability to draft board-level documentation
• Analytical mindset with ability to interpret complex regulations and translate into practical processes and controls

Ideal knowledge & experience:

• MPS and/or wealth management experience desirable
• Technology focus; proven ability to use technology to make compliance and/or risk processes more effective and efficient
• Professional qualifications (e.g., CISI, ICA, IRM) desirable but not essential

The Package

• Competitive salary, dependent on experience
• Non-contributory pension scheme
• 28 days' holiday plus bank holidays
• Non-contractual bonus scheme
• Potential to join company option scheme
• Insurance plans
• Cost of relevant professional qualifications and memberships
• Hybrid working
• Flexible hours (depending on team requirements)
• Wellbeing support