Responsible for overseeing all operational processes
Strong background in operations management within financial services
Familiarity with FCA regulations is essential

Fram is partnering with a London-based investment firm that provides tailored, discretionary investment management services to private clients. Our client is seeking a dedicated Operations & Compliance Manager to join their growing team. This is a unique opportunity to take on a newly merged role, previously split between two part-time positions, and bring your operational expertise to a full-time, senior-level position.As the Operations & Compliance Manager, you will be responsible for overseeing all operational processes, ensuring efficiency, and driving improvements across the firm. This role involves working closely with the senior management team, optimising workflows, and ensuring the firm adheres to all regulatory requirements. Key responsibilities include:

Operational Excellence: Develop and enhance operational strategies to improve workflows and ensure smooth day-to-day functioning. Oversee onboarding processes, systems management, and operational risk controls.
Team Development: Manage staffing processes, from onboarding to training, ensuring that the team operates efficiently and remains up to date with regulatory and operational requirements.
Regulatory Compliance: Ensure the firm’s operations align with relevant regulations, including AML and risk management protocols. Maintain oversight of regulatory requirements and ensure compliance across departments.
Client Onboarding & Management: Streamline and oversee the onboarding of new clients, ensuring a seamless experience that meets compliance standards.
Management Reporting: Report directly to the board on operational performance and any significant compliance breaches, advising on improvements and necessary actions
Regulatory Insight & Oversight: Keep senior management up to date on regulatory changes, including AML and risk management.
Compliance Leadership: Ensure that specialised functions adhere to regulatory standards, with direct involvement in compliance reviews, audits, and client onboarding.
FCA Regulations: Maintain accurate FCA directory records and assist with annual certifications, including fit and proper assessments under SM&CR.
Consumer Duty Guidance: Help lead the firm through the FCA's Consumer Duty requirements.

What We’re Looking For:Our client is seeking candidates who have a strong background in operations management within financial services—ideally wealth management. While a range of compliance experience will be considered, MLRO or SMF 16/17 experience (desirable, but not essential), familiarity with FCA regulations is essential. This is an excellent opportunity for someone who is eager to step up into a role with greater responsibility and make a meaningful impact on a well-respected firm.

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