Compliance Manager - Financial Advice (Hybrid, Learning)

NOVA; Greater London; Hybrid; GBP 60,000 - 90,000; Full time

Benefits offered by this job

Competitive salary

Pension

Private medical

Equity potential

Wellness support

Learning budget

EV leasing

Hybrid work

Job summary

NOVA Wealth is seeking a technically excellent Compliance Manager to be the go-to expert on what good advice looks like, across investments, pensions, protection and mortgages in a fully digital advice model.

You will work closely with our Head of Compliance, advisers and technical planners to ensure high-quality, compliant advice while balancing rigour with a practical approach that supports advisers and drives safe growth.

Qualifications

• Deep technical advice knowledge across investments, pensions, protection and mortgages.
• Qualified or studying for Level 4/6 Diploma with professional body (CII, CISI) is a plus.
• Experience in compliance monitoring and advising.
• Attention to detail with ability to explain technical points clearly.
• Strong knowledge of FCA Handbook (COBS), Consumer Duty and AML basics.
• Pragmatic, commercial approach to support advisers and business.

Responsibilities

• Run the advice quality, file checking and monitoring programme.
• Be the internal regulatory authority on suitability and regulatory questions.
• Interpret FCA rules in practical, real-world ways to quicken compliant advice.
• Maintain the compliance monitoring plan with other teams.
• Support AML checks and secondary controls.
• Identify trends and feed back for continuous improvement.
• Keep policies, procedures, and training up to date as rules evolve.
• Assist Head of Compliance with regulatory reporting and FCA interactions.

Skills

Technical compliance knowledge

FCA rules (COBS) knowledge

Compliance monitoring

Financial services experience

Detail-oriented

Education

Level 4 Diploma in Financial Advice

Level 6 Diploma in Financial Advice

Job description

NOVA Wealth is seeking a technically excellent Compliance Manager to be the go-to expert on what good advice looks like, across investments, pensions, protection and mortgages in a fully digital advice model.

You will work closely with our Head of Compliance, advisers and technical planners to ensure high-quality, compliant advice while balancing rigour with a practical approach that supports advisers and drives safe growth.