M&A Compliance Lead, Financial Services

Clayton Davies Ltd; Lancashire; On-site; GBP 60,000 - 90,000; Full time

Job summary

Clayton Davies Ltd is seeking a Compliance Manager to join its acquisitions function. You will assess financial planning businesses pre-acquisition, building a clear view of regulatory history and potential exposure. You will ensure identified issues are addressed as entities join the group.

The role involves detailed regulatory assessments, reviewing information for risk profiling, and collaborating with compliance, legal, finance and operations teams throughout the due diligence process.

Qualifications

• Minimum Level 4 Diploma in Financial Planning or equivalent required.
• Strong experience within UK financial advice or wealth management compliance.
• Experience in compliance monitoring, regulatory reviews, and audit activities.
• Solid understanding of the FCA regulatory environment for advisers and wealth managers.

Responsibilities

• Carry out detailed regulatory assessments of financial planning and wealth management businesses prior to acquisition.
• Review information to understand compliance history and risk profile of each business.
• Interrogate management information and client data to spot trends and anomalies.
• Identify areas of historic advice that may present regulatory or client risk.
• Present conclusions and recommendations to senior decision-makers.
• Support remediation or post-acquisition actions where required.

Skills

Regulatory compliance

UK financial advice

Due diligence

Risk assessment

Regulatory reviews

Education

Minimum Level 4 Diploma in Financial Planning (or equivalent)

Job description

Clayton Davies Ltd is seeking a Compliance Manager to join its acquisitions function. You will assess financial planning businesses pre-acquisition, building a clear view of regulatory history and potential exposure. You will ensure identified issues are addressed as entities join the group.

The role involves detailed regulatory assessments, reviewing information for risk profiling, and collaborating with compliance, legal, finance and operations teams throughout the due diligence process.