Compliance Manager/Head of Compliance - Financial Planning/Wealth Management

Financial Divisions; Reading; Hybrid; GBP 70,000 - 110,000; Full time

Benefits offered by this job

Hybrid working flexibility

Autonomy in compliance function

Opportunity to influence business direction

Job summary

A leading financial services firm in the UK is seeking a Compliance Manager to enhance its regulatory compliance framework and liaise with the FCA. The ideal candidate will have a minimum of 5 years in compliance and a Diploma in Financial Planning. This role offers a hybrid working environment and the opportunity to influence business direction. Responsibilities include managing compliance policies, conducting reviews, and ensuring adherence to regulatory standards.

Qualifications

• Minimum 5 years’ experience in compliance within wealth management or related financial services.
• Strong knowledge of FCA Handbook including COBS, SYSC, AML, and Consumer Duty.
• Experience in policy creation, risk assessment, and regulatory reporting.

Responsibilities

• Ensure adherence to FCA requirements across various regulations.
• Develop and maintain compliance policies and governance documentation.
• Manage Compliance Monitoring Programme and conduct reviews.
• Own the Compliance Monitoring Programme including file reviews and audits.
• Ensure product suitability frameworks are robust and deliver positive client outcomes.
• Oversee AML/CTF processes including CDD, EDD and sanctions screening.
• Act as FCA liaison and manage regulatory submissions.
• Provide ongoing training and monthly memos to keep the business compliant.
• Collaborate with risk & compliance teams and external advisers.

Skills

Compliance monitoring

Regulatory communication

Analytical skills

Problem-solving

Attention to detail

Education

Diploma in Financial Planning

Tools

Governance documentation

Job description

Compliance Manager – Financial Planning / Wealth Management

Hybrid Working

About the Role

As Compliance Manager, you will be at the centre of the firm’s regulatory integrity, ensuring full adherence to FCA requirements across COBS, SYSC, SM&CR, Consumer Duty, GDPR and AML. You’ll design, implement and enhance the firm’s compliance framework, support risk management, conduct monitoring and thematic reviews, and act as the principal liaison with the FCA. This role demands initiative, ownership and the ability to embed a culture of compliance throughout the business.

Key Responsibilities

• Hold SMF16/17 responsibilities and lead the firm’s regulatory oversight.
• Monitor, interpret and implement FCA requirements including COBS, SYSC, SM&CR, Consumer Duty, AML and financial crime regulations.
• Develop and maintain compliance policies, procedures, manuals and governance documentation.
• Own and manage the Compliance Monitoring Programme including file reviews, thematic assessments, surveillance and process audits.
• Ensure product suitability frameworks are robust and deliver positive client outcomes.
• Oversee AML/CTF processes including CDD, EDD, sanctions screening, transaction monitoring and suspicious activity reporting.
• Act as FCA liaison, attending meetings, managing regulatory submissions and overseeing SM&CR records.
• Keep the business up to date through monthly compliance memos, ongoing training and annual refreshers.
• Work closely with central risk & compliance teams and external advisers to maintain alignment and strengthen controls.
• Provide clear, commercial regulatory guidance to advisers, leadership and wider teams.
• Manage complaints, conduct investigations, ensure root‑cause analysis and implement remediation.
• Maintain compliance registers including GDPR, breaches, conflicts, financial promotions and PA dealing.
• Conduct risk assessments and horizon scanning, identifying regulatory risks and recommending action.

Skills & Experience Required

• Minimum 5 years’ experience in compliance within wealth management, IFA or related financial services environments.
• Strong and current knowledge of FCA Handbook requirements including COBS, SYSC, AML/MLR, Consumer Duty, suitability and governance standards.
• Skilled in policy creation, risk assessment, compliance monitoring and regulatory reporting.
• Confident communicator able to influence senior stakeholders and translate regulation into actionable business standards.
• High attention to detail with strong analytical and problem‑solving skills.
• Experience handling financial promotions, suitability reviews, complaints and governance oversight.
• Ability to take full ownership of a compliance function and drive continuous improvement.

Qualifications

• Diploma in Financial Planning (essential – no exceptions)

Why Apply?

• Hybrid working with flexibility in a supportive, forward‑thinking environment.
• Autonomy to build and evolve the compliance function to your own standards.
• Opportunity to influence business direction and shape regulatory culture.

CV to [e-mail]

Seniority Level

Mid‑Senior level

Employment Type

Full‑time

Job Function

Management