⭐️ Senior Compliance Manager (6 Month FTC)
📍 London or Reading
💰 c.£85,000+ Benefits
Our client is a leading wealth management firm who are looking for a Senior Compliance Manager to join on a 6-month FTC. This is a hands-on role within a busy compliance function, offering the chance to influence key regulatory processes and support the business through an important period of activity.
Role & Responsibilities: 📋
* Acting as a primary point of contact for compliance queries from financial planning, investment, and central support teams
* Developing and refreshing internal policies and guidance to ensure alignment with regulatory expectations
* Providing oversight on governance, conduct, and operational risk matters
* Reviewing marketing and client communications to confirm regulatory compliance
* Supporting integration and change initiatives, particularly relating to acquisitions or business transformation
* Monitoring incidents, analysing root causes, and recommending improvements
* Working closely with senior leadership on management information, committee reporting, and regulatory submissions
* Handling specialist tasks such as SMCR-related administration, directory management, and data protection requests
* Deputising for the Head of Compliance when required and contributing to wider compliance projects
Do you have the following to apply? ✅
* Significant compliance experience within wealth management or financial planning
* Strong working knowledge of FCA rules and how they apply in a client-advice environment
Due to the high volume of applications received we are unable to respond to everyone directly. If you are not contacted within 7 working days, you have unfortunately not been shortlisted.
Clayton Davies is acting as an employment agency on behalf of our client.