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Compliance Advice Manager

Job description

Our client, a fast-growing financial services group who's principal activity is the provision of financial advice and investment management to its retail clients is looking to identify a technically strong Compliance Advice Manager.

Reporting directly to the Group Compliance Director you will be responsible for all regulatory (FCA) consultations, policy changes and be proactive in ensuring all internal business areas are ahead of the curve when it comes to all regulatory matters in this industry.

Ensure group wide policies and standards are up to date and in line with all regulatory requirements. You will inevitably be involved in internal change projects and transformation programs that will drive our 'best in class' compliance capability.

  • Review and ensure group wide compliance policies are regularly updated.
  • Reporting breaches of FCA rules immediately.
  • Horizon scanning to ensure all future regulatory changes are tackled proactively.
  • Work closely with wider compliance team and business areas.


  • Technically strong Compliance professional in advisory / monitoring role
  • In-depth knowledge of regulatory (FCA) requirements, rules and policies
  • Understanding of FCA money laundering, financial crime and bribery act
  • Understanding of Financial Planning / Advice or Discretionary Fund Management

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