Compliance Manager

Moore Kingston Smith; City Of London; On-site; GBP 65,000 - 75,000; Full time

Job summary

A financial advisory firm in London seeks a Compliance Manager to ensure adherence to FCA regulations and support compliance culture. Responsibilities include developing policies, conducting audits, and training staff. Ideal candidates possess strong FCA knowledge and compliance experience in financial services. This role offers a full-time permanent position with a competitive salary.

Qualifications

• Strong knowledge of FCA rules and regulatory frameworks within financial services.
• Proven experience in a compliance role in financial services.
• Strong written and verbal communication skills.

Responsibilities

• Ensure compliance with FCA rules and regulations and manage all submissions.
• Develop and maintain compliance policies and procedures.
• Conduct risk assessments and audits to manage regulatory risk.

Skills

Knowledge of FCA rules

Compliance experience

Communication skills

Attention to detail

Relationship building

AML understanding

Training experience

Compliance qualification

Education

Compliance, legal, or risk qualification

Job description

Compliance Manager

Department: Financial Planning

Employment Type: Permanent - Full Time

Location: City, London

Compensation: GBP 65,000 - GBP 75,000 / year

Description

We are a team of Chartered Independent Financial Planners, recognised by the Chartered Insurance Institute (CII). Our chartered status reflects our commitment to a customer-first approach, ethical practice, and continuous professional development.

We offer holistic financial planning that includes wealth management, family protection, retirement planning, and property finance. We also integrate ESG (Environmental, Social, and Governance) considerations into our advice, supporting clients who prioritise ethical and socially responsible investing.

We use powerful cash-flow modelling tools and a secure client portal to deliver clear, visual, and actionable financial strategies. Our financial planning team is growing rapidly, now nearly 50 strong, and we\'re proud of the collaborative, values-driven culture we\'ve built through organic growth and strategic acquisitions.

As our team expands, so does our ambition, and we\'re now looking for a Compliance Manager to help shape the next phase of our journey. As Compliance Manager, you\'ll be a key figure within our Financial Advisory team, ensuring we operate in line with FCA regulations and broader financial services requirements. This is a strategic and hands-on role, ideal for someone looking to grow - whether you\'re stepping into your first managerial position or bringing experience from a similar role. You\'ll work closely with the management team to support the strategic direction of the business, helping to embed a culture of compliance and ethical practice across the advisory function.

Key Responsibilities

• Ensure the team complies with FCA rules and regulations, acting as the main contact for the regulator and managing all submissions, reporting, and inspections.
• Develop, implement, and maintain compliance policies, procedures, and controls to manage regulatory risk.
• Conduct risk assessments, audits, and file reviews; maintain the compliance risk register and oversee corrective actions.
• Monitor client outcomes and adviser documentation to ensure suitability, fairness, and regulatory alignment.
• Investigate and resolve complaints in line with regulatory requirements and good client outcomes.
• Review and approve client-facing documentation, including advice reports and marketing materials.
• Provide advice, guidance, and training to staff to ensure understanding of compliance processes and responsibilities.
• Work with Learning & Development colleagues to design and deliver engaging compliance training across multiple platforms.
• Support systems and controls to prevent financial crime, including AML and data protection compliance.
• Conduct adviser assessments, including fit and proper checks and one-to-one reviews under the T&C scheme.
• Produce management information for senior stakeholders, committees, and boards, and represent compliance in internal meetings and decision-making.

Skills, Knowledge and Expertise

• Strong knowledge of FCA rules and regulatory frameworks within financial services.
• Proven experience in a compliance role in financial services, ideally professional services.
• Experience in compliance monitoring, risk assessments, audits, and policy implementation.
• Understanding of AML, data protection, and financial crime prevention requirements.
• Strong written and verbal communication skills, with the ability to prepare reports and deliver training.
• Ability to build effective relationships with senior management and operational teams.
• High level of integrity, professional judgement, and attention to detail.
• Familiarity with training and competence (T&C) schemes and adviser assessments.
• Relevant compliance, legal, or risk qualification (e.g. ICA, CISI, or equivalent), desirable.