Compliance and Supervision Manager

Job Description

This job is with St. James's Place, an inclusive employer and a member of myGwork – the largest global platform for the + business community. Please do not contact the recruiter directly.

About the Role

We're looking for a skilled and confident Compliance and Supervision Manager to lead the design, implementation and oversight of a robust training, competence, and compliance program across the Perennial Group and associated businesses. Acting as a senior compliance lead, you will play a pivotal role in embedding systems, policies and controls that support strong regulatory standards and consistently positive client outcomes. This is a highly visible role where your expertise will directly influence our compliance culture, risk mitigation, and operational efficiency.

What You'll Be Doing

• Lead the development and maintenance of the Training & Competence (T&C) Scheme and compliance oversight framework.
• Monitor and manage annual competency and Fitness & Propriety requirements under SM&CR.
• Ensure timely updates to FCA registers and manage onboarding of approved/certified individuals.
• Carry out risk assessments, oversee compliance assurance visits and perform trend analysis.
• Drive delivery of training needs analysis and implement related training programs.
• Lead Partner Acquisition Due Diligence exercises and regulatory assessments for new firms.
• Prepare and deliver meaningful Management Information (MI) and board-level risk dashboards.
• Advise senior leaders on legal and regulatory changes and oversee timely implementation.
• Ensure policies reflect regulatory expectations and are stress-tested for operational effectiveness.
• Act as a lead liaison for regulatory engagement and reporting, including FCA submissions.
• Champion cultural and ethical standards, promoting , , and client fairness across the Group.
• Line manage and support compliance teams across Perennial and its associated firms.

Who We're Looking For

We're looking for a strategic and proactive compliance professional with strong leadership skills and experience in regulatory oversight, ideally within the financial advice or wealth management sectors. You'll have a natural ability to build relationships with internal and external stakeholders and the confidence to provide senior-level advice and guidance. A strong grasp of SM&CR, T&C schemes, and client-centric outcomes is essential to your success in this role.

Essential Skills & Experience

• Proven experience in a compliance leadership role within financial services.
• Proven experience managing SM&CR requirements and T&C frameworks.
• Ability to influence, lead teams, and deliver effective regulatory change.
• Excellent written and verbal communication skills with strong MI and report presentation capabilities.

Desirable Skills

• Diploma in Financial Planning (or working towards it).
• In-depth knowledge of compliance in Partner/AR supervision environments.