Senior Compliance Advisory Manager
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.

What We’re Looking For

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).