Senior Compliance Manager - Wealth Planning

Financial Divisions; Reading; Hybrid; GBP 70,000 - 110,000; Full time

Benefits offered by this job

Hybrid working flexibility

Autonomy in compliance function

Opportunity to influence business direction

Job summary

A leading financial services firm in the UK is seeking a Compliance Manager to enhance its regulatory compliance framework and liaise with the FCA. The ideal candidate will have a minimum of 5 years in compliance and a Diploma in Financial Planning. This role offers a hybrid working environment and the opportunity to influence business direction. Responsibilities include managing compliance policies, conducting reviews, and ensuring adherence to regulatory standards.

Qualifications

• Minimum 5 years’ experience in compliance within wealth management or related financial services.
• Strong knowledge of FCA Handbook including COBS, SYSC, AML, and Consumer Duty.
• Experience in policy creation, risk assessment, and regulatory reporting.

Responsibilities

• Ensure adherence to FCA requirements across various regulations.
• Develop and maintain compliance policies and governance documentation.
• Manage Compliance Monitoring Programme and conduct reviews.

Skills

Compliance monitoring

Regulatory communication

Analytical skills

Problem-solving

Attention to detail

Education

Diploma in Financial Planning

Job description

A leading financial services firm in the UK is seeking a Compliance Manager to enhance its regulatory compliance framework and liaise with the FCA. The ideal candidate will have a minimum of 5 years in compliance and a Diploma in Financial Planning. This role offers a hybrid working environment and the opportunity to influence business direction. Responsibilities include managing compliance policies, conducting reviews, and ensuring adherence to regulatory standards.