London (Hybrid)
A leading UK IFA/ wealth management firm is looking for a Senior Compliance Advisory Manager who will support and deputise the Head of Compliance Advisory. This is a broad, generalist compliance role will assist in providing regulatory guidance across the business and delivering practical technical advice to first-line teams,.
Key Responsibilities
- Maintain compliance policies and deliver training.
- Manage incidents, root-cause analysis and control improvements.
- Oversee financial promotions and provide second-line approvals.
- Manage introducer due diligence and approvals.
- Oversee compliance for appointed representatives.
- Support DSAR processes and FCA reporting requirements.
- Deputise for the Head of Compliance Advisory on projects and governance matters.
- Minimum 5 years’ compliance advisory experience, with financial planning experience essential.
- Experience operating in a generalist compliance environment.
- Strong stakeholder engagement and relationship-building skills.
- In-depth knowledge of COBS and how Conduct of Business rules apply specifically to financial planning firms.
- Strong knowledge of the FCA Handbook (COBS, SYSC, DISP).
