Compliance Manager - Financial Planning​/Wealth Management

Compliance Manager – Financial Planning / Wealth Management

Hybrid Working

As Compliance Manager, you will be at the centre of the firm’s regulatory integrity, ensuring full adherence to FCA requirements across COBS, SYSC, SM&CR, Consumer Duty, GDPR and AML. You’ll design, implement and enhance the firm’s compliance framework, support risk management, conduct monitoring and thematic reviews, and act as the principal liaison with the FCA. This role demands initiative, ownership and the ability to embed a culture of compliance throughout the business.

• Hold SMF
  16/17 responsibilities and lead the firm’s regulatory oversight.
• Monitor, interpret and implement FCA requirements including COBS, SYSC, SM&CR, Consumer Duty, AML and financial crime regulations.
• Develop and maintain compliance policies, procedures, manuals and governance documentation.
• Own and manage the Compliance Monitoring Programme including file reviews, thematic assessments, surveillance and process audits.
• Ensure product suitability frameworks are robust and deliver positive client outcomes.
• Oversee AML/CTF processes including CDD, EDD, sanctions screening, transaction monitoring and suspicious activity reporting.
• Act as FCA liaison, attending meetings, managing regulatory submissions and overseeing SM&CR records.
• Keep the business up to date through monthly compliance memos, ongoing training and annual refreshers.
• Work closely with central risk & compliance teams and external advisers to maintain alignment and strengthen controls.
• Provide clear, commercial regulatory guidance to advisers, leadership and wider teams.
• Manage complaints, conduct investigations, ensure root‑cause analysis and implement remediation.
• Maintain compliance registers including GDPR, breaches, conflicts, financial promotions and PA dealing.
• Conduct risk assessments and horizon scanning, identifying regulatory risks and recommending action.

• Minimum 5 years’ experience in compliance within wealth management, IFA or related financial services environments.
• Strong and current knowledge of FCA Handbook requirements including COBS, SYSC, AML/MLR, Consumer Duty, suitability and governance standards.
• Skilled in policy creation, risk assessment, compliance monitoring and regulatory reporting.
• Confident communicator able to influence senior stakeholders and translate regulation into actionable business standards.
• High attention to detail with strong analytical and problem‑solving skills.
• Experience handling financial promotions, suitability reviews, complaints and governance oversight.
• Ability to take full ownership of a compliance function and drive continuous improvement.

• Diploma in Financial Planning (essential – no exceptions)

• Hybrid working with flexibility in a supportive, forward‑thinking environment.
• Autonomy to build and evolve the compliance function to your own standards.
• Opportunity to influence business direction and shape regulatory culture.

CV to

Mid‑Senior level

Full‑time

Management