Location: London or Reading
The leading UK wealth management firm providing client-focused financial advice, is seeking a Senior Compliance Manager to deliver day-to-day regulatory support and help maintain a strong compliance culture.
Key Responsibilities
- Deliver day-to-day compliance advice to business teams.
- Maintain policies, training and regulatory documentation.
- Support acquisition projects and change initiatives.
- Manage incidents, breaches and related analysis.
- Review and approve financial promotions.
- Monitor conflicts of interest and maintain records.
- Support DSAR processes and complaint investigations.
- Prepare and submit FCA reports and applications.
- Produce compliance MI and support/deputise for the Head of Compliance.
- Manage SMCR/FCA Directory updates and assist with PII renewals.
- 10+ years’ compliance experience, ideally in wealth management and compliance advisory roles.
- Strong knowledge of the FCA Handbook (COBS, SYSC, DISP).
- Ability to interpret regulation, challenge constructively and provide practical solutions.
- Excellent communication and relationship-building skills at all levels.
