Compliance Advisory Officer

Are you ready to chart your own career path?

With our refreshed strategy, we’re building on our rich heritage and transforming our business to be more scalable and efficient, unlocking the capabilities needed for future success. This includes significantly investing in technology, streamlining the way we work and creating an environment where colleagues feel engaged, empowered and accountable; where they can show up, speak up and perform - because we believe in the difference our work makes.

At a glance:

• Location: London - Lombard Street Office
• Workplace Type: Hybrid
• Employment Type: Permanent
• Seniority: Mid-Senior Level

About the role:

We're looking for a Compliance Advisory Officer to join our Investment Compliance team within the Risk & Compliance Division. In this role, you'll work closely with senior stakeholders across the business, helping to navigate complex regulatory requirements while supporting strong customer outcomes and effective risk management.

This is an excellent opportunity for someone with compliance experience within an Authorised Fund Manager (AFM) or similar environment who wants to broaden their influence, contribute to key business initiatives, and help shape regulatory thinking across the organisation.

What you'll be doing:

• Working with the Head of Investment Compliance and the Deputy to provide sound regulatory advice and subject matter expertise to the business.
• Ensuring that matters that create a risk of non-compliant outcomes are managed through to closure.
• Supporting compliance reviews and projects, including reviews of SJPUTG’s compliance with applicable regulations, as deemed appropriate by the Head of Compliance. This will involve liaising with the first line and the ability to summarise findings and provide an informed view.
• Contributing to the team’s views on material complex and sometimes contentious issues.
• Maintaining a core understanding of the regulatory priorities and issues, including but not limited to: COLL, COBS, SYSC, CASS, PROD, PRIN and AIFMD and other regulations pertinent to an Authorised Fund Manager.
• Carrying out compliance reviews of scheme documents, IMAs and fund factsheets, ensure findings are recorded appropriately and reported back to the relevant team for action.
• Building good working relationships with operational teams across the business, not limited to SJPUTG. Engage with colleagues in other compliance teams as appropriate. Liaison with Middle Office is particularly important.
• Maintaining audit trail of documents reviewed and matters raised as a result of the review.
• Supporting the team with oversight of breaches management, including reviewing breach logs, ensuring matters are closed on a timely basis and hosting fortnightly breach assessment meetings when the deputy is unavailable.
• Highlighting and escalating gaps in business adherence to and effective application of internal policies, procedures, and regulatory requirements.
• Participating in the regular review of SJPUTG’s policies and procedures, as required by the compliance team or the business.
• Leading by example to foster a culture of compliance across SJP. Work collaboratively with Risk Teams, Compliance Monitoring, other Compliance Leaders and Regulatory engagement to provide insights and support activities.