Ascot Lloyd group

Location: London (hybrid) Hours: 35 hours per week Contract: Permanent SMCR Function: Conduct Role About Ascot Lloyd Ascot 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 Role We 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 DSAR requests and ensure compliance with FCA reporting requirements. Assist with complaint investigations and produce MI for boards and committees. Deputise for the Head of Compliance Advisory on projects and governance matters. What We're Looking For Minimum 5 years' experience in compliance advisory within financial services or wealth management. Strong knowledge of the FCA Handbook (COBS, SYSC, DISP). Proven ability to solve complex compliance issues and provide practical solutions. Excellent communication and relationship-building skills. Proficiency in MS Office (Word, Outlook, PowerPoint, Excel). Why Join Us? Be part of a dynamic, values-driven organisation. Flexible, home-based role with occasional travel. Opportunity to shape compliance culture in a leading wealth management firm. Apply Now If you share our values and meet the criteria, we'd love to hear from you. Apply today using the link.

A leading financial services firm in Greater London is seeking a Strategic HR Business Partner for a pivotal role in aligning HR strategies with business objectives. This full-time position requires significant HR experience, ideally in financial services, and offers competitive salary and benefits. The successful candidate will drive initiatives in workforce planning, change management, and talent strategy, contributing to a high-performance culture within the organization.

Contract Type: 6 Months Fixed Term Contract, with the potential to be extended to 12 months Pattern: Full time/Hybrid (3 days in the office) Reporting to: HR Business Partner Lead About Ascot Lloyd: At Ascot Lloyd, we are a leading financial services firm dedicated to exceptional wealth management and financial planning. We prioritise our clients, offering tailored solutions backed by our team's expertise. We pride ourselves on providing clear, jargon-free and transparent financial advice. Ascot Lloyd is a dynamic and forward-thinking organisation committed to fostering a high-performance culture and driving business growth through strategic HR initiatives. We are looking for a Strategic HR Business Partner to join our team and play a pivotal role in aligning our HR strategies with our business objectives. Key Responsibilities Strategic HR Planning and Alignment: Partner with senior management and regional heads to understand business objectives, priorities, and challenges. Align HR strategies and initiatives to drive growth and performance. Workforce Planning: Assess current talent gaps, future needs, and succession planning to ensure the right people are in place to meet business goals. Change Management: Lead and manage organisational change, including harmonisation, integration, culture change, and performance improvement. Cultural Development: Shape the company culture to support business objectives, encourage employee engagement, and foster an inclusive and high-performance environment. Talent Strategy: Develop long-term talent strategies to attract, develop, and retain top talent. Employee Relations and Engagement: Build strong relationships with employees, measure and improve engagement, and handle complex employee relations issues. Performance Management: Design and implement performance management systems, provide coaching to managers, and support talent development. Leadership Development and Succession Planning: Ensure robust succession planning and leadership development initiatives. Compensation and Benefits Strategy: Oversee the development of competitive compensation structures and benefits offerings. HR Analytics and Reporting: Leverage HR analytics to provide insights into workforce trends and drive strategic HR decisions. Collaboration and Cross-Functional Work: Collaborate with other departments and lead cross-functional projects. Required Experience CIPD Qualified (preferred but not essential) Significant experience in a best-in-class HR function, ideally with experience in Financial Services organisations. Experience building and maintaining ExCo relationships and being seen as a trusted adviser. Data literacy and the ability to use analytics to create business cases. Experience in change management, transformation, M&A, and project work. Commercially minded with the ability to articulate the impact of HR on company performance. Benefits of Working at Ascot Lloyd Competitive salary and benefits package, including health insurance, pension plans, and bonus schemes. Opportunities for professional development and career growth. A supportive and inclusive work environment that values employee well-being and engagement. The chance to work with a dynamic team and contribute to the growth and success of a forward-thinking organisation. Join Ascot Lloyd and be part of a team that is dedicated to making a difference. Apply now to become our next Strategic HR Business Partner!