Senior Compliance Lead – Wealth & Financial Planning

Clayton Davies; England; On-site; GBP 50,000 - 70,000; Full time

Job summary

A prominent national financial firm in the United Kingdom is seeking an experienced Senior Compliance Manager to enhance their governance framework. This key leadership position involves providing expert compliance guidance to support financial planning. Candidates should have extensive experience in compliance, particularly within wealth management, and a strong understanding of Conduct Rules. This full-time role offers an opportunity to influence senior stakeholders and ensure adherence to regulatory expectations.

Qualifications

• Extensive compliance experience within an IFA, wealth management, or financial planning environment.
• Strong understanding of Conduct Rules is essential.
• Proven ability to interpret complex regulatory requirements and translate them into practical business solutions.

Responsibilities

• Provide expert compliance and regulatory advisory support across the business.
• Lead the interpretation and implementation of FCA rules effectively.
• Act as a key point of contact for advisers regarding compliance matters.
• Oversee thematic reviews, policy updates, and risk assessments.
• Influence and challenge senior stakeholders for compliance adherence.
• Support development and delivery of compliance training and guidance.
• Contribute to the firm’s Consumer Duty strategy.
• Lead or support regulatory projects and strategic initiatives.

Skills

Extensive compliance experience

Strong understanding of Conduct Rules

Ability to interpret complex regulatory requirements

Job description

A prominent national financial firm in the United Kingdom is seeking an experienced Senior Compliance Manager to enhance their governance framework. This key leadership position involves providing expert compliance guidance to support financial planning. Candidates should have extensive experience in compliance, particularly within wealth management, and a strong understanding of Conduct Rules. This full-time role offers an opportunity to influence senior stakeholders and ensure adherence to regulatory expectations.