At a Glance
- Tasks: Ensure high-quality financial advice and compliance while supporting advisers with practical solutions.
- Company: Fast-growing startup revolutionising financial advice in the UK.
- Benefits: Competitive salary, equity potential, wellness support, and flexible working hours.
- Other info: Dynamic, diverse environment with opportunities for personal and professional growth.
- Why this job: Join a purpose-driven team making a real impact on customers' financial lives.
- Qualifications: Strong knowledge of FCA rules and experience in compliance or financial advice.
The predicted salary is between 50000 - 60000 £ per year.
About NOVANOVA Wealth is a fast growing startup looking to change the face of financial advice and the way it's delivered in the UK. We firmly believe that a human adviser needs to be at the heart of every client relationship, but by leveraging technology we can empower our advisers to deliver higher levels of service and cut out a lot of the day‑to‑day admin that gets in the way. At our core, we're here to build a game changer in the advice industry that delivers better customer outcomes, at a lower cost, for more people. Through customer‑centric advisers supported by our innovative Lifeline technology, we empower our customers to go beyond just making smarter financial decisions to living the lives they dream of.
About the role At NOVA, we like to do things differently. We deliver full holistic financial advice across investments, pensions, protection and mortgages in an entirely digital way, and we hold ourselves to an exceptionally high standard on advice quality. We're looking for a technically excellent Compliance Manager to be our go‑to expert on what good advice looks like. You'll be the person who really knows the detail; the suitability and Finprom rules and the technical nuances of advice across products. You will use that knowledge to keep our advice quality high and our marketing compliant as we grow.
You'll work closely with our Head of Compliance, our advisers, and our technical planners, balancing rigour with a practical, supportive approach that helps advisers do their best work for clients.
What you'll be doing:
- Running our advice quality, file checking and monitoring programme, reviewing the suitability of holistic financial advice across investments, pensions, protection and mortgages.
- Being the internal regulatory authority on advice: the person people come to with the tricky suitability and regulatory questions.
- Interpreting and applying FCA rules (especially COBS) in a practical, real‑world way that supports good advice being delivered quickly.
- Maintaining the compliance monitoring plan and working with other teams to embed compliance within them.
- Supporting financial crime / AML checks and other second‑line controls.
- Spotting trends in advice quality and feeding back to advisers and the business to drive continuous improvement.
- Helping keep our policies, procedures and training up to date as rules and propositions evolve.
- Supporting the Head of Compliance with regulatory reporting, projects and FCA interactions.
Deep technical advice knowledge. This is the most important thing. You really know your stuff on suitability and the technical detail of advice across investments, pensions, protection and mortgages.
Advice qualification preferred. A Level 4 or Level 6 Diploma in financial advice with a recognised professional body (CII, CISI, etc.) is a real plus.
Compliance monitoring / advice experience. A background as a file checker, compliance monitoring specialist, senior paraplanner, technical consultant or experienced adviser.
Detail‑oriented. High attention to detail, and the ability to explain technical points clearly and constructively to advisers.
Knowledge of the rules. Strong working knowledge of the FCA Handbook (COBS), Consumer Duty, Financial Promotions, and the basics of financial crime / AML.
Practical and commercial. While technical depth is the priority, you bring a pragmatic, solutions‑focused approach that supports advisers and helps the business move quickly and safely.
You'll feel right at home if you're…
- Helpful: random acts of kindness make the workplace a better place so, go out of your way to be helpful, and give people reasons to smile.
- Straightforward: life is complicated enough. Don't make it harder for yourself, or for others. Sometimes the simplest approach works wonders.
- Bold: every great business started with a flash of inspiration. If you've got a great idea, don't keep it to yourself.
Join a firm with genuine purpose and impact on our customers, along with a strong moral code.
Competitive salary + benefits (bonus, pension, private medical, income protection, death in service). Potential to get equity in the company in the future. Access to Wellness / mental health support (Headspace App + mental health support through private medical). Budget for additional learning / cost of exams. Electric vehicle leasing through salary sacrifice / cycle to work scheme. Flexible working hours and hybrid remote working (typically 2-3 days a week working in the office (20 Farringdon Street)). Exceptionally open and diverse, multinational team. Entrepreneurial, creative environment.
Compliance Compliance Manager (Financial Advice) London , United Kingdom employer: Novawm
At NOVANOVA Wealth, we pride ourselves on being a forward-thinking employer that champions innovation and employee growth. Our vibrant London office fosters a collaborative and supportive culture, where you can thrive in your role as a Compliance Manager while enjoying competitive benefits such as flexible working hours, wellness support, and opportunities for professional development. Join us to be part of a mission-driven team that is reshaping financial advice and making a meaningful impact on our clients' lives.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Compliance Manager (Financial Advice) London , United Kingdom
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like Novawm looking for candidates who are engaged and informed.
We think you need these skills to ace Compliance Compliance Manager (Financial Advice) London , United Kingdom
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at Novawm. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at Novawm
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with Novawm’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
