Compliance Lead, Financial Advice (Hybrid; Learning Budget)

Novawm; Greater London; Hybrid; GBP 50,000 - 70,000; Full time

Benefits offered by this job

Competitive salary

Bonus

Pension

Private medical

Flexible working hours

Electric vehicle leasing

Job summary

Novawm is seeking a Compliance Manager to oversee advice quality in financial services, ensuring compliance with FCA rules and maintaining standards. You will leverage your expertise to support advisers in delivering quality financial advice across investments and pensions.

The ideal candidate will possess strong technical knowledge and practical experience in compliance monitoring. The position offers competitive salary and hybrid working arrangements, part of a diverse, entrepreneurial team committed to impactful client relationships.

Qualifications

• Extensive knowledge of suitability and technical detail of advice across products.
• Experience as a file checker or compliance monitoring specialist.
• High attention to detail and ability to explain technical points clearly.

Responsibilities

• Run the advice quality and file checking programme.
• Be the internal regulatory authority on advice.
• Interpret and apply FCA rules in a practical way.
• Maintain the compliance monitoring plan.
• Support financial crime / AML checks.
• Spot trends in advice quality for continuous improvement.
• Update policies and procedures.
• Assist with regulatory reporting and FCA interactions.

Skills

Deep technical advice knowledge

Compliance monitoring / advice experience

Detail-oriented

Knowledge of FCA Handbook

Practical and commercial

Education

A Level 4 or Level 6 Diploma in financial advice

Job description

Novawm is seeking a Compliance Manager to oversee advice quality in financial services, ensuring compliance with FCA rules and maintaining standards. You will leverage your expertise to support advisers in delivering quality financial advice across investments and pensions.

The ideal candidate will possess strong technical knowledge and practical experience in compliance monitoring. The position offers competitive salary and hybrid working arrangements, part of a diverse, entrepreneurial team committed to impactful client relationships.