Senior Acquisitions Compliance Manager

This is a fully remote position, open to applicants in United Kingdom.

📋 Description

• Assume responsibility for a portfolio of ongoing regulatory due diligence projects, ensuring a comprehensive understanding of each deal while providing continuous oversight and challenge to confirm the RDD process is executed accurately, key risks and unresolved issues are thoroughly investigated, and evaluations progress efficiently to a high-quality conclusion.

• Collaborate closely with Acquisitions Compliance Managers to guarantee that assigned deals progress smoothly in accordance with the agreed scope, internal processes, and transaction timelines, offering support and guidance when necessary.

• Assess whether investigations are adequately focused, evidence has been accurately reconciled, and conclusions reflect the nature, scale, and significance of each issue.

• Identify instances where work is lagging, blocked, incomplete, or becoming disproportionate, and provide clear direction to advance the review process efficiently.

• Ensure that the transaction structure and liability profile are accurately represented in the scope, risk assessment, conclusions, and recommended actions.

• Foster a collaborative approach across file reviews and other acquisition workstreams, ensuring relevant information and emerging findings are shared, understood, and collectively considered so that overall due diligence conclusions are coherent and comprehensive.

• Review draft reports prior to submission to the Head of Acquisitions Compliance, ensuring they are succinct, balanced, commercially relevant, and near board-ready.

• Ensure that significant actions resulting from due diligence are incorporated into the appropriate pre-completion or integration action plans, with clear ownership and continuous oversight until satisfactory resolution is achieved.

• Promptly escalate significant risks, delivery issues, and matters requiring senior judgment, along with a clear assessment and recommended next steps.

• Leverage oversight of live deals to mentor the team, enhance consistency, and identify practical improvements to guidance, templates, workflows, and reporting standards.

⛳️ Requirements

• Qualified to QCF Level 4 or higher in financial planning, regulated financial planning, compliance, or an equivalent relevant professional qualification.

• Strong experience in financial services compliance, regulatory due diligence, or a similar regulatory risk role.

• Comprehensive knowledge of the UK wealth management and financial advice sector, along with the applicable FCA framework.

• Highly organized, capable of overseeing multiple due diligence exercises, prioritizing competing demands, and ensuring work progresses within agreed timelines.

• Ability to review and constructively critique the work of others, identifying gaps or areas needing further investigation and providing clear direction as required.

• Strong regulatory and commercial judgment, with the ability to differentiate technical weaknesses from issues that pose significant client, liability, financial, or transaction risks.

• Capable of taking a broader perspective on a due diligence exercise, understanding how individual findings and various workstreams contribute to the overall risk assessment.

• Excellent report-writing and editorial skills, with the ability to distill detailed analyses into concise, evidence-based conclusions suitable for senior stakeholders.

• Confident and constructive communicator, comfortable challenging colleagues and vendors appropriately and escalating significant concerns when necessary.

• Able to support and develop colleagues through practical coaching, constructive feedback, and sharing best practices.

• Takes initiative and is comfortable making decisions, providing direction, and helping resolve issues that could otherwise impede progress.

🏝️ Benefits

• 25 days holiday (excluding Bank holidays)

• Holiday Purchase scheme

• In-House Training Academy

• Annual Salary Review

• Day-off on Birthday

• Life Assurance & Pension