Compliance Officer – Investment & Wealth Management

London/Hybrid | Growing Investment & Wealth Platform | Advancing Your Compliance Career

Phoenix Talent Partners is delighted to be recruiting on behalf of our client—an ambitious, fast-scaling investment and wealth management group entering an exciting phase of growth.

We’re partnering with them to hire a Compliance Officer who brings both a pragmatic approach and a strong commercial mindset, and who is eager to play a pivotal role in shaping the firm’s compliance and risk culture as it scales.

This is a standout opportunity to join a business where compliance is valued as an enabler of growth, not a blocker—offering genuine scope for development, influence, and progression.

The Role

Supporting the Group’s Risk & Compliance function—and with a strong focus on the firm’s discretionary investment solution—you will act as a key advisor to the business. Not only will you report directly into the Group Head of Risk & Compliance, you will also work closely with the CEO on occasion so you will have a direct influence on the business and how it’s shaped.

Key Responsibilities

You’ll take ownership of core regulatory and prudential compliance activities, including:

• Leading regulatory reporting across RegData/Connect, ensuring accurate and timely submissions.
• Managing AIFMD Annex IV transparency reporting where required.
• Driving the ICARA process, including harm assessments, capital adequacy, liquidity, and wind-down planning.
• Conducting forward-looking regulatory horizon scanning and coordinating implementation across the business.
• Maintaining and reviewing regulatory policies and internal standards.
• Delivering risk-based compliance monitoring and supporting Internal Audit.
• Conducting thematic testing across investment conduct areas.
• Operating a proportionate T&C framework covering competence, supervision and recordkeeping.
• Providing high-quality MI, board reporting, KRIs and change tracking.

This is a high-impact role supporting quality advice, strong client outcomes, and continuous improvement of processes.

About You

We’re looking for a conscientious, commercially aware compliance professional who can balance technical expertise with practical, business-friendly judgement.

You’ll bring:

• Significant compliance experience in investment management (wealth management highly desirable).
• Strong working knowledge of the FCA Handbook (COBS, SYSC, COLL, DISP), AML regulations and Consumer Duty.
• Familiarity with FCA systems (RegData/Connect).
• Excellent communication, analytical ability and attention to detail.
• IMC/CIM or relevant QCF Level 4 qualifications—or a willingness to study.

If you’re a proactive compliance professional seeking a role where you can truly partner with the business—as it prepares for significant growth—Phoenix Talent Partners would love to hear from you.