Senior Compliance Advisor - Financial Services (Hybrid)

Ascot Lloyd group; Greater London; Hybrid; GBP 70,000 - 90,000; Full time

Job summary

A prominent wealth management firm in Greater London is seeking a Senior Compliance Advisory Manager to support the Head of Compliance Advisory. The successful candidate will manage compliance policies, provide technical advice, and oversee financial frameworks, ensuring compliance with regulatory requirements. With at least 5 years of experience in compliance advisory within financial services, strong knowledge of the FCA Handbook, and excellent communication skills, this hybrid role offers flexibility and the opportunity to shape compliance culture in the organization.

Benefits

Values-driven organization

Flexible home-based role

Opportunity to shape compliance culture

Qualifications

• Minimum 5 years' experience in compliance advisory within financial services or wealth management.
• Strong knowledge of the FCA Handbook including COBS, SYSC, and DISP.
• Proven ability to solve complex compliance issues and provide practical solutions.

Responsibilities

• Develop and maintain compliance policies and deliver training across the business.
• Manage incident reporting, root cause analysis, and recommend control enhancements.
• Oversee the financial promotions framework and provide 2nd line approvals.
• Identify and mitigate conflicts of interest and maintain the conflicts register.
• Manage due diligence and approval processes for introducers.
• Create and maintain compliance oversight for appointed representatives.
• Handle DSAR requests and ensure compliance with FCA reporting requirements.
• Assist with complaint investigations and produce MI for boards and committees.
• Deputise for the Head of Compliance Advisory on projects and governance matters.

Skills

Compliance advisory experience

FCA Handbook knowledge

Problem-solving

Communication skills

MS Office proficiency

Job description

A prominent wealth management firm in Greater London is seeking a Senior Compliance Advisory Manager to support the Head of Compliance Advisory. The successful candidate will manage compliance policies, provide technical advice, and oversee financial frameworks, ensuring compliance with regulatory requirements. With at least 5 years of experience in compliance advisory within financial services, strong knowledge of the FCA Handbook, and excellent communication skills, this hybrid role offers flexibility and the opportunity to shape compliance culture in the organization.