Compliance Manager

Job 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.

Extra information

Status

Open

Education Level

Secondary School

Location

London Area

Type of Contract

Full-time jobs

Published at

27-02-2026

Profession type

Accountancy

Full UK/EU driving license preferred

No

Car Preferred

No

Must be eligible to work in the EU

No

Cover Letter Required

No

Languages

English