Find a job 
Featured Companies 
Featured Universities 
For Companies At a Glance
- Tasks: Lead compliance integration for new acquisitions and ensure regulatory alignment.
- Company: Join a fast-growing IFA firm known for its strong governance and client outcomes.
- Benefits: Enjoy a competitive salary and the flexibility of home-based work.
- Why this job: Be part of a dynamic team that values innovation and operational excellence.
- Qualifications: Must have a Level 4 Diploma in Financial Planning and experience in compliance.
- Other info: Due to high application volume, only shortlisted candidates will be contacted.
The predicted salary is between 48000 - 72000 £ per year.
This range is provided by Clayton Davies. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.
Base pay rangeDirect message the job poster from Clayton Davies
ContactDirector at Clayton Davies – 07515031496 / paul@claytondavies.com
Our client is a leading national IFA firm looking for an experienced Senior Compliance Manager to strengthen their governance framework and act as the main business partner for compliance support to the financial planning side of the business.
This is a key leadership role within their Compliance team, providing expert guidance and oversight to ensure the firm meets all regulatory obligations.
Role & Responsibilities
Provide expert compliance and regulatory advisory support across the business, with a focus on financial planning and retail investment advice.
Lead the interpretation and implementation of FCA rules, guidance, and policy changes, ensuring controls and processes remain robust.
Act as a key point of contact for advisers, delivering clear guidance on complex compliance matters.
Oversee thematic reviews, policy updates, and risk assessments.
Influence and challenge senior stakeholders to ensure the firm operates within risk appetite and regulatory expectations.
Support the development and delivery of compliance training, briefings, and guidance materials.
Contribute to the firm\’s Consumer Duty strategy and ongoing monitoring.
Lead or support regulatory projects and strategic initiatives across the business.
Qualifications & Requirements
Extensive compliance experience within an IFA, wealth management, or financial planning environment.
Strong understanding of Conduct Rules is essential.
Proven ability to interpret complex regulatory requirements and translate them into practical business solutions.
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.
Seniority level: Mid-Senior level
Employment type: Full-time
Job function: Other
Industries: Financial Services and Investment Management
Get notified about new Compliance Manager jobs in London Area, United Kingdom .
#J-18808-Ljbffr
Senior Compliance Manager employer: Clayton Davies
Contact Detail:
Clayton Davies Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Senior Compliance Manager
✨Tip Number 1
Familiarise yourself with the latest FCA rules and guidance relevant to financial advice and wealth management. This knowledge will not only help you in interviews but also demonstrate your commitment to staying updated in the compliance field.
✨Tip Number 2
Network with professionals in the compliance sector, especially those who have experience in due diligence and acquisitions. Engaging with industry peers can provide valuable insights and may even lead to referrals for the position.
✨Tip Number 3
Prepare to discuss specific examples of how you've successfully managed compliance integration in previous roles. Highlighting your practical experience will set you apart from other candidates.
✨Tip Number 4
Showcase your leadership skills by discussing how you've led teams or projects in the past. The role requires managing a compliance integration team, so demonstrating your ability to lead effectively will be crucial.
We think you need these skills to ace Senior Compliance Manager
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your experience in compliance, particularly in due diligence and acquisitions. Use specific examples that demonstrate your understanding of FCA rules and your ability to manage compliance integration.
Craft a Compelling Cover Letter: Write a cover letter that clearly outlines your motivation for applying and how your skills align with the role. Mention your Level 4 Diploma in Financial Planning and any relevant achievements in regulatory governance.
Showcase Leadership Skills: In your application, emphasise your leadership experience, especially in managing teams and projects. Provide examples of how you've set priorities and monitored outputs in previous roles.
Highlight Problem-Solving Abilities: Demonstrate your capability to identify regulatory or operational risks and propose practical solutions. Use specific instances from your past work to illustrate your problem-solving skills.
How to prepare for a job interview at Clayton Davies
✨Know Your Regulatory Stuff
Make sure you brush up on FCA rules and guidance relevant to financial advice and wealth management. Being able to discuss these confidently will show that you’re well-prepared and knowledgeable about the compliance landscape.
✨Demonstrate Leadership Skills
As a Senior Compliance Manager, you'll be leading a team. Be ready to share examples of how you've successfully managed teams in the past, set priorities, and monitored outputs. This will highlight your leadership capabilities.
✨Prepare for Scenario Questions
Expect questions that ask how you would handle specific compliance challenges or risks. Think of practical solutions you've implemented in previous roles and be prepared to discuss them in detail.
✨Showcase Your Communication Skills
Effective communication is key in this role, especially when liaising with cross-functional teams and external contacts. Be ready to provide examples of how you've maintained clear communication in past projects to ensure timely delivery.
