Senior Compliance Manager

Clayton Davies; England; Hybrid; GBP 90,000; Full time

Job summary

A national IFA firm is seeking an experienced Senior Compliance Manager to enhance their governance framework. This pivotal leadership role involves providing expert compliance support across the financial planning sector, interpreting FCA rules, and communicating complex compliance matters to stakeholders. Candidates must possess extensive compliance experience and a strong understanding of Conduct Rules. The position offers a competitive salary of approximately £90,000 plus bonus, and operates on a hybrid work model.

Benefits

Bonus

Benefits

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.
• Act as a key point of contact for advisers on compliance matters.
• Oversee thematic reviews, policy updates, and risk assessments.
• Challenge senior stakeholders to ensure compliance.
• Support the development of compliance training and guidance materials.
• 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 regulatory requirements

Job description

Senior Compliance Manager

📍 London (Hybrid)

💰 c.£90,000 + Bonus + Benefits

Our client is a leading national IFA firm who are looking for an experienced Senior Compliance Manager to strengthen their governance framework and act as the main business partner for compliance support to the financial planning side of the business.

This is a key leadership role within their Compliance team, providing expert guidance and oversight to ensure the firm meets all regulatory obligations.

Role & Responsibilities : 📋

• Provide expert compliance and regulatory advisory support across the business, with a focus on financial planning and retail investment advice.
• Lead the interpretation and implementation of FCA rules, guidance, and policy changes, ensuring controls and processes remain robust.
• Act as a key point of contact for advisers, delivering clear guidance on complex compliance matters.
• Oversee thematic reviews, policy updates, and risk assessments.
• Influence and challenge senior stakeholders to ensure the firm operates within risk appetite and regulatory expectations.
• Support the development and delivery of compliance training, briefings, and guidance materials.
• Contribute to the firm’s Consumer Duty strategy and ongoing monitoring.
• Lead or support regulatory projects and strategic initiatives across the business.

Do you have the following to apply? ✅

• 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.

Due to the high volume of applications received we are unable to respond to everyone directly. If you are not contacted within 7 working days, you have unfortunately not been shortlisted.

Clayton Davies is acting as an employment agency on behalf of our client.