Part-Time Compliance Manager – Investment Manage (Leeds)Location: Leeds (Hybrid – 2 to 3 days per week)
Employment Type: Part-Time
About the CompanyOur client is an established boutique investment management group with a strong reputation for delivering high-quality investment solutions and maintaining the highest standards of regulatory compliance. With an SMF16/17 already in place, the firm is now seeking additional compliance expertise to support its growing operations and maintain a robust compliance framework.
The RoleThe Compliance Manager will play a key role in ensuring the firm continues to meet its regulatory obligations under the FCA and within the evolving investment management landscape. This is a hands-on, part-time position suited to an experienced compliance professional who is confident working autonomously while supporting the wider business in maintaining best practice compliance processes.
Key Responsibilities*Support the SMF16/17 in managing and maintaining the firm’s compliance framework.
*Oversee and enhance procedures for client onboarding and KYC/AML checks.
*Review and approve financial promotions and marketing materials to ensure FCA compliance.
*Support the preparation and submission of regulatory reports and management information.
*Assist with client reporting processes to ensure regulatory accuracy and timeliness.
*Monitor and interpret changes to FCA regulations, providing advice and updates to the business.
*Support ongoing implementation and monitoring of the Consumer Duty requirements.
*Conduct periodic compliance reviews and contribute to internal audit and monitoring programmes.
*Provide guidance and training to staff on compliance and regulatory matters.
Key Requirements*Proven experience in a compliance role within an investment management, wealth management, or financial services firm.
*Strong understanding of FCA regulations, particularly relating to investment management activities.
*Knowledge and experience of financial promotions, client onboarding, and regulatory reporting.
*Familiarity with the Consumer Duty framework.
*Excellent communication skills and the ability to work effectively with senior management and front-office teams.
*Ability to work independently, manage competing priorities, and maintain a proactive approach.
What’s on Offer*Flexible, part-time arrangement (2–3 days per week).
*Competitive day rate or pro-rata salary, depending on experience.
*Opportunity to work with a highly regarded investment management business in a collaborative environment.
For further details, please apply using the link.