Acquisitions Compliance Manager

Perspective (North East) Ltd

. Lead end-to-end regulatory due diligence reviews across different acquisition structures, tailoring the scope and depth of work to the transaction, liabilities transferring and personnel joining the Group.

Posted 11/12/2026full-timeRemote • United KingdomMid-LevelSeniorWebsite

Core Competencies

Role fit

Core Competencies

Use this summary to align your resume positioning with the role.

Demonstrates expertise in regulatory due diligence, compliance monitoring, and financial services, with a strong understanding of the FCA regulatory framework and the ability to produce concise, evidence-based reports for senior management. Capable of analyzing complex data, identifying risks, and fostering collaborative relationships with stakeholders.

Highest-signal resume keywords

Regulatory Due DiligenceFCA Regulatory FrameworkFinancial Services ComplianceAnalytical SkillsReport Writing

ATS Keywords

Tailor your resume

Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills

Regulatory ComplianceDue Diligence ReviewsData ReconciliationRisk AssessmentFinancial Analysis

Soft Skills

Interpersonal CommunicationOrganizational SkillsAnalytical ThinkingCuriosityStakeholder Management

Tools & Technologies

Microsoft Excel

Certifications & Qualifications

QCF Level 4 or Above in Financial PlanningRegulated Financial Planning Qualification

Industry Keywords

UK Wealth ManagementFinancial Advice IndustryConsumer DutyMiFID IISM&CR

About the role

Key responsibilities & impact

Lead end-to-end regulatory due diligence reviews across different acquisition structures, tailoring the scope and depth of work to the transaction, liabilities transferring and personnel joining the Group.
Undertake detailed reviews of regulatory and compliance documentation, management information, client data and business data, and vendor responses.
Analyse historic advice activity and identify higher risk products, advice areas, client populations and business practices requiring enhanced review.
Work closely with the file review team to understand key findings and themes arising from advice file reviews, assess their wider significance and incorporate relevant conclusions into regulatory due diligence reports.
Identify omissions, inconsistencies and weaknesses across evidence sources, including regulatory returns, FCA correspondence, PI submissions, complaints data, client files, business registers and financial information.
Reconcile regulatory findings and key data with financial due diligence and other transaction workstreams, ensuring material figures and conclusions are consistent across reports.
Assess the nature, scale and materiality of findings, distinguishing between technical issues and matters that create material regulatory, client, financial or transaction risk.
Produce concise, accurate and evidence based due diligence reports for senior management.
Escalate material risks and red flags promptly, providing clear recommendations and proportionate mitigation strategies.
Support regulatory onboarding activities and action plans, providing clear updates to relevant stakeholders and ensuring due diligence findings are carried through to resolution.
Work collaboratively with Regulatory, Finance, Legal, Operations and other acquisition workstreams.
Build constructive relationships with vendors and external stakeholders, asking clear and appropriately challenging questions while supporting timely completion of due diligence and onboarding.
Contribute to continuous improvement, including development of guidance, workflows, quality standards and proportionate use of AI and other technologies.

Requirements

What you’ll need

Qualified to QCF Level 4 or above in financial planning, regulated financial planning, compliance or an equivalent relevant professional qualification.
Relevant experience in financial services compliance, regulatory due diligence, compliance monitoring, file review, audit or risk consultancy role.
Strong understanding of the UK wealth management and financial advice industry, including relevant products, services and advice processes.
Strong working knowledge of the FCA regulatory framework applicable to UK financial advice and wealth management firms, including practical experience across several of the following: Consumer Duty, MiFID II ongoing servicing, COBS and suitability, IPRU, SYSC, TC, FIT, complaints, SM&CR, regulatory reporting and professional indemnity insurance.
Demonstrable analytical and investigative skills, including the ability to review complex or incomplete information, reconcile data from different sources, identify inconsistencies and reach balanced, evidence based conclusions.
Ability to distinguish between technical findings and matters that create a material regulatory, client, financial or transaction risk.
Inquisitive and naturally curious, with the confidence to look beyond initial responses, challenge gaps or inconsistencies, and seek the evidence needed to reach sound conclusions.
Strong report writing skills, with the ability to convert detailed technical findings into concise, balanced and commercially relevant commentary for senior stakeholders.
Excellent interpersonal and verbal communication skills, including the confidence to ask probing questions, communicate uncertainty and manage sensitive vendor or stakeholder relationships constructively.
Highly organised, with the ability to manage a varied workload, maintain accurate records and deliver high quality work to tight deadlines.
Competent user of Microsoft Excel, with the ability to organise, filter, reconcile and interpret sizeable datasets and produce management information to support decision making.
Comfortable working independently in a high growth and changing environment, while collaborating effectively across multidisciplinary teams.

Benefits

Comp & perks

25 days holiday (exc. Bank holidays)
Holiday Purchase scheme
In-House Training Academy
Annual Salary Review
Day-off on Birthday
Life Assurance & Pension