Senior Compliance Advisory Manager

Location:
London (hybrid)
Contract: Permanent
SMCR Function: Conduct Role

Ascot Lloyd is one of the UK’s leading independent wealth management firms. Our purpose is simple: to deliver exceptional outcomes for our clients while fostering a culture of integrity, collaboration, and continuous improvement.

Our values guide everything we do:

• Integrity – We act honestly and transparently in all our dealings.
• Client Focus – We put clients at the heart of every decision.
• Collaboration – We work together to achieve shared success.
• Excellence – We strive for the highest standards in everything we do.

We are seeking a Senior Compliance Advisory Manager to join our growing compliance team. This is a key role supporting the Head of Compliance Advisory in all aspects of compliance across Ascot Lloyd, providing technical advice to 1st line business and operational teams. You will also deputise for the Head of Compliance Advisory in governance committees, steering groups, and strategic projects.

Key Responsibilities:

• Develop and maintain compliance policies and deliver training across the business.
• Manage incident reporting, root cause analysis, and recommend control enhancements.
• Oversee the financial promotions framework and provide 2nd line approvals.
• Identify and mitigate conflicts of interest and maintain the conflicts register.
• Manage due diligence and approval processes for introducers.
• Create and maintain compliance oversight for appointed representatives.
• Handle DSAR requests and ensure compliance with FCA reporting requirements.
• Assist with complaint investigations and produce MI for boards and committees.
• Deputise for the Head of Compliance Advisory on projects and governance matters.

• Minimum 5 years’ experience in compliance advisory within financial services or wealth management.
• Strong knowledge of the FCA Handbook (COBS, SYSC, DISP).
• Proven ability to solve complex compliance issues and provide practical solutions.
• Excellent communication and relationship-building skills.
• Proficiency in MS Office (Word, Outlook, PowerPoint, Excel).

• Be part of a dynamic, values-driven organisation.
• Flexible, home-based role with occasional travel.
• Opportunity to shape compliance culture in a leading wealth management firm.

If you share our values and meet the criteria, we’d love to hear from you. Apply today using the link.