Senior Compliance Manager (6 Month contract)

Senior Compliance Manager (6 Month contract)

Direct message the job poster from Clayton Davies

Director at Clayton Davies – 07515031496 / paul@claytondavies.com

📍 London or Reading

💰 Competitive day rate or FTC

Our client is a leading wealth management firm who are looking for a Senior Compliance Manager to join on a 6‑month contract. 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

Clayton Davies is acting as an employment agency on behalf of our client.