Compliance Manager – Independent Financial Advice Sector
Maidenhead, Berkshire
£55,000–£85,000
Hybrid Working
Are you looking for a role where you can genuinely shape the future of a growing Wealth Management business? This role offers the opportunity to join a firm enjoying consistent year-on-year organic growth, backed by the capital strength of a wider network — yet with zero risk of being swallowed by a consolidator. Senior management are actively expanding the business and need a stronger, more strategic compliance function to match their long-term ambitions. You’ll join the senior leadership team, influence business planning, and help steer future growth.
This role genuinely offers a long term career and can potentially offer a route to board membership as well.
About you
Are you a proactive, creative and forward-thinking compliance professional who wants full ownership of a vital function inside an expanding Independent Financial Advice business? This is your opportunity to take a Compliance Manager role and shape it into your own vision of what exceptional compliance should look like.
About the Role
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.
Key Responsibilities
• Hold SMF16/17 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
Skills & Experience Required
• 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
Qualifications
• Diploma in Financial Planning (essential – no exceptions)
• Professional compliance qualifications highly desirable (e.g. CISI, ICA, CII)
Why Apply?
• Take a senior management seat with influence over business direction and planning
• Autonomy to build and evolve the compliance function to your own standards
• Long-term progression to board membership
• Hybrid working with flexibility in a supportive, ambitious environment
• Competitive salary £55,000–£85,000 depending on experience
If you’re ready to take the lead and build a best-in-class compliance function, we’d love to hear from you. Please send your CV or reach out for a confidential discussion.
Email: ryan@financialdivisions.co.uk