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- Tasks: Ensure compliance with FCA regulations and develop policies for a leading financial advisory firm.
- Company: Join a respected, values-led financial planning team in London.
- Benefits: Competitive salary up to £80,000, hybrid working, and extensive wellbeing support.
- Why this job: Make a strategic impact in a collaborative environment focused on ethics and innovation.
- Qualifications: Experience in compliance within financial services and strong knowledge of FCA rules.
- Other info: Opportunities for career development and professional qualifications in a supportive culture.
The predicted salary is between 48000 - 64000 £ per year.
An established and rapidly growing team of Chartered Independent Financial Planners is seeking a talented Compliance Manager to join its London-based Financial Advisory team. This is a pivotal role for a compliance professional who wants to make both a strategic and hands-on impact within a respected, forward-thinking firm. The business provides holistic financial planning services, including wealth management, family protection, retirement planning, and property finance, with an emphasis on ethical and socially responsible investing. Supported by advanced cash-flow modelling tools and a secure client portal, the team delivers clear, visual, and actionable financial advice to individuals and families.
As the Compliance Manager, you'll play a key role in ensuring the firm's continued adherence to FCA regulations and broader financial services requirements. You'll work closely with senior management to maintain and strengthen a culture of compliance and ethical practice across the advisory function.
Key Responsibilities:- Serve as the main regulatory contact for the FCA, managing submissions, reporting, and inspections.
- Develop, implement, and maintain compliance policies, procedures, and controls to manage regulatory risk.
- Conduct compliance monitoring, audits, and risk assessments, and maintain the compliance risk register.
- Review and approve client-facing documentation, including advice reports and marketing materials.
- Investigate and resolve client complaints in line with regulatory and ethical standards.
- Deliver compliance training and guidance to staff at all levels, embedding best practice across the business.
- Support systems and controls to prevent financial crime, including AML and data protection compliance.
- Conduct adviser assessments under the Training & Competence (T&C) scheme.
- Produce MI reports for senior stakeholders and represent compliance at management and board meetings.
- Proven experience in a compliance role within financial services, ideally within a professional services or advisory firm.
- Strong working knowledge of FCA rules, AML, data protection, and financial crime prevention.
- Experience in compliance monitoring, risk management, and policy development.
- Excellent written and verbal communication skills.
- High level of integrity, sound professional judgement, and attention to detail.
- Familiarity with T&C schemes and adviser assessments.
- Relevant compliance, legal, or risk qualification (e.g. ICA, CISI, or equivalent) desirable.
This is a fantastic opportunity to join a growing, values-led business that combines professionalism with a truly people-focused culture. You'll be part of a collaborative environment that values innovation, ethics, and continuous learning — with real scope to develop your career and shape the compliance function for the future.
Key Benefits:- Highly competitive salary to £80,000 appx plus bonus
- Highly flexible hybrid working model
- Twice-yearly salary reviews
- 28 days' annual leave (including three days over Christmas)
- Private Medical Insurance and extensive wellbeing support
- Backing for CPD, professional qualifications, and career development
- Inclusive and forward-thinking culture
If you're an experienced compliance professional looking for a role where your expertise will be valued, supported, and developed — this could be the perfect next step in your career.
Compliance Manager in London employer: mbf
Contact Detail:
mbf Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Manager in London
✨Network Like a Pro
Get out there and connect with people in the industry! Attend events, join online forums, and don’t be shy about reaching out to current employees at firms you’re interested in. We all know that sometimes it’s not just what you know, but who you know!
✨Ace the Interview
Prepare for your interviews by researching the company and its culture. Think about how your skills align with their values, especially around compliance and ethical practices. We recommend practising common interview questions and having a few thoughtful questions ready to show your interest.
✨Showcase Your Expertise
When you get the chance, highlight your experience in compliance and any relevant qualifications. Use specific examples from your past roles to demonstrate how you’ve successfully managed regulatory risks or improved compliance processes. We want to see how you can make an impact!
✨Apply Through Our Website
Don’t forget to apply directly through our website! It’s the best way to ensure your application gets seen by the right people. Plus, we love seeing candidates who take that extra step to engage with us directly.
We think you need these skills to ace Compliance Manager in London
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Compliance Manager role. Highlight your experience in compliance within financial services and any relevant qualifications. We want to see how your skills align with our needs!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're passionate about compliance and how you can contribute to our values-led business. Keep it concise but impactful — we love a good story!
Showcase Your Communication Skills: As a Compliance Manager, strong communication is key. In your application, demonstrate your ability to convey complex information clearly. Whether it's through your CV or cover letter, let us see your writing prowess!
Apply Through Our Website: We encourage you to apply directly through our website. It’s the best way for us to receive your application and ensures you’re considered for the role. Plus, it’s super easy — just a few clicks and you’re done!
How to prepare for a job interview at mbf
✨Know Your Regulations
Make sure you brush up on FCA regulations and compliance standards before the interview. Being able to discuss specific rules and how they apply to the role will show that you're not just familiar with compliance, but that you’re ready to take on the responsibilities of the Compliance Manager.
✨Showcase Your Experience
Prepare to share concrete examples from your past roles where you've successfully implemented compliance policies or managed regulatory risks. Use the STAR method (Situation, Task, Action, Result) to structure your answers, making it easy for the interviewers to see your impact.
✨Demonstrate Ethical Commitment
Since the firm emphasises ethical and socially responsible investing, be ready to discuss your views on ethics in finance. Share any experiences where you’ve had to navigate ethical dilemmas and how you ensured compliance while maintaining integrity.
✨Engage with Questions
Prepare thoughtful questions about the company’s compliance culture and future challenges. This not only shows your interest in the role but also gives you insight into how you can contribute to their goals. Ask about their approach to training staff on compliance and how they handle evolving regulations.