Job Description
Compliance Manager
Wealth Management
Hertfordshire
£70k-£80k DoE
About Us
We are a leading financial advice and wealth management firm providing tailored financial planning, investment, and wealth protection services to individuals and families. As an FCA-regulated business, we are committed to maintaining the highest standards of professionalism, ethics, and regulatory compliance.
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Role Summary
The Compliance Manager will be responsible for overseeing and developing the firm’s compliance framework, ensuring all regulatory requirements, particularly those set by the FCA, are met and maintained. This includes ownership of regulatory data reporting obligations. This is a key role that ensures the firm’s operations are compliant, ethical, and aligned with industry standards.
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Key Responsibilities
• Regulatory Compliance:
• Ensure full adherence to FCA regulations, including SYSC, COBS, DISP, and SM&CR.
• Monitor changes in regulation and provide impact analysis and implementation plans.
• Act as the main point of contact for the FCA, handling all communications and regula...