Ortus PSR
Compliance Management Executive (Risk)
Hybrid, 3 days in the office and 2 form home, Salary up to £55,000 + bonus & benefitsA well-established, acquisitive national IFA & wealth management group
Most compliance roles are a monitoring checklist. This one isn't.
You'll join the risk function of one of the UK's larger independent advice and wealth management groups — a business that's actively acquiring, integrating and growing. That means real variety: firm acquisitions, variations of permission, authorisations and de-authorisations, and multi-entity reporting to the FCA as the group scales. If you want compliance work with breadth and group-wide visibility — rather than the same monthly cycle at a single, static firm — read on.
What you'll do
- Lead compliance due diligence on acquisition firms, and own the authorisations, de-authorisations and variation-of-permissions process across acquisitions, appointed representatives and trading styles.
- Co-ordinate regulatory reporting for all group firms — RegData submissions, fees and professional standards returns, and FCA thematic or ad-hoc requests.
- Review and sign off financial promotions and client-facing templates in line with FCA rules.
- Ensure adequate Professional Indemnity and Directors' & Officers' cover across the group, and manage renewal of FCA permissions and ICO registrations.
- Act as the escalation point for regulatory queries, provide breach-action sign-off, and help deliver regulatory policy and project change.
Why it's a strong move
- Breadth you won't get at a standstill firm — acquisitions, permissions, reporting and promotions in one remit.
- Hands-on M&A exposure that's genuinely hard to find elsewhere.
- A self-driven role with the autonomy to own your work, backed by an experienced senior risk team.
What we're looking for
- Experience in a compliance or risk function within an FCA-regulated advice, wealth or financial services firm.
- Sound knowledge of FCA regulation across retail investment and wealth advice.
- Familiarity with RegData reporting and the variation-of-permissions process — or the appetite to develop it quickly.
- A confident communicator who can work independently and to deadline.
What's on offer
- Hybrid working, a competitive holiday allowance with buy/sell scheme, your birthday off and extra days for long service.
- Discretionary annual bonus, contributory pension and death-in-service cover.
- Health & wellbeing cash plan with cashback on everyday healthcare and discounted gym membership.
- Tailored professional development to help you progress.
To apply for this job please visit www.reed.co.uk.
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