Compliance Manager

COMPLIANCE MANAGER

Apply below after reading through all the details and supporting information regarding this job opportunity.

£65,000 – £75,000 | LTIP SCHEME | LONDON | HYBRID

A rare opportunity to join one of the UK's most innovative and technology-forward financial planning businesses in a newly created Compliance Manager role.

Our client is a fast-growing financial planning business based in London, built around a genuine belief that compliance and technology can work hand in hand to deliver better outcomes for clients and for the business. They are hiring a Compliance Manager to join their growing compliance team alongside a new Head of Compliance, working together to ensure the business operates to the highest regulatory standards, whilst also supporting the firm's ambitious growth plans.

The role:

- Support the Head of Compliance in managing the day-to-day compliance processes across the business
- Ensure the firm's operations remain fully compliant with FCA rules and guidance including Consumer Duty and MiFID II
- Work closely with the wider compliance team and business stakeholders to embed a strong compliance culture
- Contribute to the development and improvement of compliance processes and systems - including the use of technology to drive efficiency
- Support with regulatory reporting, monitoring, and horizon scanning

What we are looking for:

- A compliance professional with solid experience in a financial planning or wealth management environment
- Good working knowledge of FCA regulations including Consumer Duty
- Level 4 DipFS qualified as a minimum
- An interest in technology and a willingness to embrace new ways of working
- Highly organised, detail-focused, and comfortable working in a fast-paced, growing business
- Someone who is excited by the prospect of being part of something different

What is on offer:

- Basic salary of £65,000 to £75,000 depending on experience
- LTIP Scheme
- Hybrid working
- The opportunity to join a forward-thinking business at an exciting point in its growth

Please apply and/or get in touch to find out more.

Nigel James Associates

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