Senior Compliance Manager

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

This range is provided by Clayton Davies. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.

Base pay range

Direct message the job poster from Clayton Davies

Contact

Director at Clayton Davies - 07515031496 / [e-mail]

Our client is a leading national IFA firm 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.

Qualifications & Requirements

• 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.

Seniority level: Mid-Senior level

Employment type: Full-time

Job function: Other

Industries: Financial Services and Investment Management

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