Compliance Manager
Heat Recruitment
Date: 16 hours ago
City: St Albans, England
Contract type: Part time
Compliance Manager – Wealth Management – FTE £70,000 (£28,000)
Part time role – 2 full days a week
St Albans (Majority remote, travel to the office as and when required)
Looking for flexible working that doesn’t mean putting your career on hold? Or perhaps you’re looking for a stepping stone to an SMF16 role?
This opportunity offers exactly that.
We’re working with a growing and long-standing Wealth & Investment Management firm delivering a full range of services including investment planning, advisory, execution-only, SIPP, and ISA solutions. With a strong blend of personal advice and smart technology (such as AI and automation to streamline their back office) they’re now looking for a Part-time Compliance Manager to play a key role in that journey.
What’s On Offer
Reporting directly into the current SMF16 holder, you’ll lead day-to-day compliance across the business, developing a tailored and effective compliance framework. Your responsibilities will include:
Whether you’re returning to the profession or seeking more flexibility, this is a rare chance to make a real impact and move your career forward, whilst allowing you the flexibility to work part-time.
Apply now or reach out for a confidential discussion.
Part time role – 2 full days a week
St Albans (Majority remote, travel to the office as and when required)
Looking for flexible working that doesn’t mean putting your career on hold? Or perhaps you’re looking for a stepping stone to an SMF16 role?
This opportunity offers exactly that.
We’re working with a growing and long-standing Wealth & Investment Management firm delivering a full range of services including investment planning, advisory, execution-only, SIPP, and ISA solutions. With a strong blend of personal advice and smart technology (such as AI and automation to streamline their back office) they’re now looking for a Part-time Compliance Manager to play a key role in that journey.
What’s On Offer
- 2 days per week – your choice of working days
- Home-based, with roughly 2 office days per month in St Albans
- A potential path to stepping into the SMF16 (Head of Compliance) position as the business grows over the next few years
Reporting directly into the current SMF16 holder, you’ll lead day-to-day compliance across the business, developing a tailored and effective compliance framework. Your responsibilities will include:
- Creating and maintaining a robust Compliance strategy aligned to the firm’s needs
- Reviewing and implementing policies, procedures, and control frameworks
- Monitoring relevant regulatory developments (e.g., MiFID, SYSC, SMCR, AML, GDPR)
- Leading regular audits, risk assessments, and internal reviews
- Proactively identifying risks and recommending improvements
- Communicating compliance expectations clearly across all levels of the business
- Proven Compliance experience within wealth management, investment management, or a similar FCA-regulated environment
- Working knowledge of key regulations: MiFID, DISP, SYSC, SMCR, AML, GDPR
- Ability to challenge constructively and operate with independence
- Strong communicator with a collaborative approach and commercial mindset
Whether you’re returning to the profession or seeking more flexibility, this is a rare chance to make a real impact and move your career forward, whilst allowing you the flexibility to work part-time.
Apply now or reach out for a confidential discussion.
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