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Leading Recruitment Agency in Wiltshire | CMD Recruitment

Discover your next job or find your ideal employee with CMD Recruitment, the largest and most established recruitment agency in Wiltshire and Bath.

Compliance & Operations Oversight Specialist

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  • Job type: Permanent
  • Location: Bath
  • Date posted:
  • Pay: £35000 - £50000

Join a successful and award-winning boutique investment firm and make a real difference.


We seek a Compliance and Operations Oversight Specialist to join the team at a small but successful investment firm. They have been recognised for their excellence in the industry, winning several awards for their investment strategies.


The ideal candidate will have:

  • Previous experience in a compliance role, with a strong understanding of FCA and compliance regulations and requirements in the UK.
  • Exceptional organisational and multitasking skills to manage multiple responsibilities and meet deadlines.
  • Effective communication skills for collaboration with internal teams and external stakeholders.
  • Team player with the ability to work both independently and collaboratively in a team-oriented environment.
  • Professional demeanour, unwavering integrity, and a commitment to confidentiality.
  • Desirable: Operational experience in discretionary investment management.


In this role, you will:

  • Support ongoing assessment and monitoring of business, operations, and investment risks, and assist in the development of policies and procedures.
  • Conduct regular compliance monitoring and oversight, promptly reporting any identified compliance issues.
  • Assist in reviewing and approving marketing materials in alignment with FCA Financial Promotion rules in the UK.
  • Provide valuable regulatory support to projects and change initiatives, maintaining meticulous records of compliance activities.
  • Collaborate with the SMF16 to implement robust systems and controls to ensure continuous compliance with regulatory requirements.
  • Develop management reports and prepare vital information for the Board and key governance committees as required.
  • Investigating and reviewing any firm breaches, and identifying necessary policy changes or training requirements to ensure ongoing compliance.
  • Assisting in responding to due diligence questionnaires and information requests from third parties.
  • Take a lead role in fostering an effective compliance culture within the organisation.
  • Staying updated on industry developments, best practices, and regulatory changes in the UK. Actively seeking opportunities for knowledge enhancement through training and professional development.


This is a challenging and rewarding opportunity to make a real difference in a successful and award-winning boutique investment firm. If you are a compliance professional who is looking to make a meaningful impact, we would love to hear from you!

Apply now

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