Join our dynamic team as a Compliance Specialist and play a vital role in ensuring regulatory excellence across our investment management operations. This is your opportunity to contribute to a forward-thinking organisation committed to upholding the highest standards of compliance, risk oversight, and regulatory integrity within a rapidly evolving financial landscape. You will provide expert second-line compliance services, support governance processes, and collaborate closely with senior stakeholders to embed a strong compliance culture.
Location: Hybrid – 3 days per week in Leeds
Key responsibilities:
- Support the Risk & Compliance Director in developing and delivering the Compliance Plan
- Carry out risk-based monitoring and assurance activities, including thematic reviews and outcome testing
- Provide clear, practical compliance advice to business teams
- Recommend and track control improvements, ensuring actions are completed on time
- Work with stakeholders across the business to improve understanding of regulatory requirements, financial crime risks and data protection obligations
- Help identify and manage conduct risk, supporting a strong customer-focused culture
- Review new regulations and help implement regulatory change programmes
- Build strong working relationships with operational teams and key stakeholders
- Support with FCA visits, reviews, and regulatory requests, ensuring a high-quality response
Salary & Benefits
- Salary up to £60,000
- Bonus scheme - on target bonus - 10%
- Pension – contribute 5%, we’ll match with an additional 5%
- Critical illness cover
- Income protection
- Life assurance – 4x salary
- 27 days holiday + bank holidays
- Option to buy up to 10 extra days leave
- Flexible benefits including private medical insurance, dental insurance and more
What will you need to succeed?
- Experience in a 1st or 2nd line compliance role within Financial Services
- Level 4 qualified
- Strong understanding of compliance monitoring techniques and regulatory requirements
- A curious eye with the ability to think outside of the box
- Excellent organisation skills, with the ability to maintain accurate records and audit trails
- Strong problem-solving, judgement, and decision-making skills