Compliance Manager
London | Hybrid Working
An exciting opportunity has arisen for a Compliance Manager to join a growing, technology-led wealth management business.
This role offers the opportunity to work closely with senior leadership whilst supporting the firm's compliance, regulatory, and governance framework. The successful individual will play an important role in ensuring regulatory standards are maintained whilst supporting the continued growth of the business.
Key Responsibilities
• Assist in the management of the firm's compliance framework.
• Conduct compliance monitoring reviews and file checks.
• Support Consumer Duty and FCA regulatory requirements.
• Review and maintain compliance policies and procedures.
• Assist with financial crime, AML, and risk management activities.
• Provide compliance guidance to advisers and colleagues.
• Support regulatory reporting and governance processes.
• Deliver compliance training and contribute to a positive compliance culture.
About You
• Previous compliance experience within wealth management, financial planning, investment management, or broader financial services.
• Strong understanding of FCA regulation and Consumer Duty.
• Knowledge of AML and financial crime requirements.
• Excellent communication and stakeholder management skills.
• Proactive, commercially aware, and solutions-focused approach.
Package
• Competitive salary
• Annual bonus
• Share incentive opportunity
• Pension
• Private Medical Insurance
• Income Protection
• Flexible hybrid working
• Ongoing professional development support
An excellent opportunity for a compliance professional seeking to join a modern and growing financial services business.
Sector:
- Financial Services
- Financial Planning
