About

Location: London (hybrid)Hours: 35 hours per week Contract: Permanent SMCR Function: Conduct Role About Ascot LloydAscot Lloyd is one of the UK's leading independent wealth management firms. Our purpose is simple: to deliver exceptional outcomes for our clients while fostering a culture of integrity, collaboration, and continuous improvement. Our values guide everything we do: Integrity - We act honestly and transparently in all our dealings.Client Focus - We put clients at the heart of every decision.Collaboration - We work together to achieve shared success.Excellence - We strive for the highest standards in everything we do. The RoleWe are seeking a Senior Compliance Advisory Manager to join our growing compliance team. This is a key role supporting the Head of Compliance Advisory in all aspects of compliance across Ascot Lloyd, providing technical advice to 1st line business and operational teams. You will also deputise for the Head of Compliance Advisory in governance committees, steering groups, and strategic projects. Key Responsibilities: Develop and maintain compliance policies and deliver training across the business.Manage incident reporting, root cause analysis, and recommend control enhancements.Oversee the financial promotions framework and provide 2nd line approvals.Identify and mitigate conflicts of interest and maintain the conflicts register.Manage due diligence and approval processes for introducers.Create and maintain compliance oversight for appointed representatives.Handle D