Description

Compliance Manager

£65,000 – £75,000 | Hybrid | London

A growing Chartered Financial Planning firm is looking for a Compliance Manager to play a pivotal role in shaping and embedding a strong, commercially aware compliance culture. This is a visible, hands-on position within a collaborative advisory team, offering real influence and scope to develop the function as the business continues to expand.

You’ll do:

• Act as the key point of contact for FCA matters, reporting and regulatory engagement
• Lead compliance monitoring, file reviews, risk assessments and maintain the risk register
• Oversee complaints handling and ensure strong client outcomes in line with Consumer Duty
• Review and approve advice documentation and client communications
• Support and develop the T&C framework, including adviser assessments
• Deliver practical compliance guidance and training across the advisory team
• Produce clear MI and present insights to senior leadership

You’ll get:

• Hybrid working model
• A genuine seat at the table with senior stakeholders
• The opportunity to shape compliance within a Chartered, values-led firm
• Strong long-term progression potential as the business grows

You’ll bring:

• Proven compliance experience within an IFA, wealth management or financial planning environment
• DipPFS/DipFA Level 4 qualification
• Strong working knowledge of FCA regulation and advisory compliance frameworks
• Experience across monitoring, policy development, risk and adviser oversight
• Confidence working with senior stakeholders and influencing decision-making
• High integrity, attention to detail and a pragmatic, solutions-focused mindset

If you’d like more detail on the firm and structure, happy to share confidentially.