Operations/Compliance Manager

2 weeks ago


UK, UK, United Kingdom Fram Search Full time

We are working with a prestigious investment manager based in London, who is seeking an Operation/ Compliance manager to join their growing team. Our client works with UNHW Professional clients, and this opportunity could move into a COO role for the right candidate. The role is reporting directly to the CEO and is more operations focused with an element of compliance. They are looking for someone with a ‘can do ‘ attitude who wants a role that can develop and grow as the firm does.


Some of the duties will include :

  • Oversee reporting for the business to the CEO and Senior management team.
  • Drive various strategic projects.
  • Creating and implementing systems and processes.
  • Oversee HR and office management support.
  • Work with Custodians
  • Client billing responsibility
  • Oversee Compliance and Risk to ensure good governance and regulatory compliance.
  • Manage the firm’s relationship with the FCA.
  • Lead the company through the incoming Consumer Duty requirements.
  • Have knowledge and experience of MiFID II and ICARA


An ideal candidate will have operational and compliance experience within wealth manager, financial or professional services. You will have excellent written and verbal communication skills, be an independent thinker, and a “doer” with demonstrated good judgement, problem-solving and analytical skills. You will also have experience of the FCA, Consumer Duty, ICARA, and a good understanding of FCA rules.


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