Compliance Oversight - Financial Advice (retail)

Job description

Compliance Oversight Role – Financial Advice / Retail IFA Sector

A senior compliance role responsible for leading and overseeing regulatory compliance activities within a national financial advice business. The position supports the development, delivery, and ongoing effectiveness of the Compliance Assurance Programme and broader risk management framework, ensuring adherence to regulatory standards governing retail financial advice.

Key Responsibilities

• Act as the primary compliance contact supporting a financial advice business operating within the retail client market.
• Design, implement, and maintain compliance assurance and internal control programmes aligned with regulatory permissions and risk frameworks.
• Provide independent oversight and assurance across compliance policies, procedures, and advisory processes, particularly those relating to client suitability and advice standards.
• Produce governance and risk reports for senior leadership and regulatory committees, highlighting compliance effectiveness, key risks, and remedial actions.
• Provide regulatory guidance to the business, supporting compliant product and service development.
• Monitor regulatory developments and evolving best practice impacting the financial advice and retail investment sectors.
• Support conduct risk oversight and promote strong compliance culture across business operations.
• Work collaboratively across business units to embed regulatory requirements into operational processes.
• Maintain oversight of key compliance policies and support governance committee activity.

Essential Experience & Knowledge

• Strong working knowledge of FCA regulations relating to financial advisers, particularly suitability of advice, client outcomes, and retail investment regulation.
• Demonstrable compliance experience within an Independent Financial Adviser (IFA) or financial advice environment.
• Understanding of the Principal and Appointed Representative regulatory model.
• Knowledge of key regulatory frameworks and legislation including FSMA and MiFID II.
• Experience working with retail client investment or wealth management services is highly desirable.

Skills & Capabilities

• Ability to interpret and communicate complex regulatory requirements to business stakeholders at all levels.
• Strong analytical and report-writing skills with the ability to translate regulatory risk into practical business solutions.
• Ability to operate in a fast-paced and evolving regulatory environment.
• Strong stakeholder management and collaboration skills.
• High ethical standards and strong focus on customer outcomes and regulatory integrity.

Extra information

Status

Open

Education Level

Secondary School

Location

City of London

Type of Contract

Full-time jobs

Published at

04-03-2026

Profession type

Management

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