Job Description
COMPLIANCE MANAGER – Financial Planning / Wealth Management
Berkshire
To £80,000
Hybrid Working
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...