Compliance Management Executive

Hybrid, 3 days in the office and 2 form home, Salary up to £55,000 + bonus & benefitsA well-established, acquisitive national IFA & wealth management group

Most compliance roles are a monitoring checklist. This one isn't.

You'll join the risk function of one of the UK's larger independent advice and wealth management groups - a business that's actively acquiring, integrating and growing. That means real variety: firm acquisitions, variations of permission, authorisations and de-authorisations, and multi-entity reporting to the FCA as the group scales. If you want compliance work with breadth and group-wide visibility - rather than the same monthly cycle at a single, static firm - read on.

What you'll do

• Lead compliance due diligence on acquisition firms, and own the authorisations, de-authorisations and variation-of-permissions process across acquisitions, appointed representatives and trading styles.
• Co-ordinate regulatory reporting for all group firms - Reg Data submissions, fees and professional standards returns, and FCA thematic or ad-hoc requests.
• Review and sign off financial promotions and client-facing templates in line with FCA rules.
• Ensure adequate Professional Indemnity and Directors' & Officers' cover across the group, and manage renewal of FCA permissions and ICO registrations.
• Act as the escalation point for regulatory queries, provide breach-action sign-off, and help deliver regulatory policy and project change.

Why it's a strong move

• Breadth you won't get at a standstill firm - acquisitions, permissions, reporting and promotions in one remit.
• Hands-on M&A exposure that's genuinely hard to find elsewhere.
• A self-driven role with the autonomy to own your work, backed by an experienced senior risk team.

What we're looking for

• Experience in a compliance or risk function within an FCA-regulated advice, wealth or financial services firm.
• Sound knowledge of FCA regulation across retail investment and wealth advice.
• Familiarity with Reg Data reporting and the variation-of-permissions process - or the appetite to develop it quickly.
• A confident communicator who can work independently and to deadline.

What's on offer

• Hybrid working, a competitive holiday allowance with buy/sell scheme, your birthday off and extra days for long service.
• Discretionary annual bonus, contributory pension and death-in-service cover.
• Health & wellbeing cash plan with cashback on everyday healthcare and discounted gym membership.
• Tailored professional development to help you progress.