At a Glance
- Tasks: Lead compliance efforts and shape processes in a growing financial planning business.
- Company: Award-winning advisory firm with a national and global presence.
- Benefits: Competitive salary, flexible working, and genuine career progression opportunities.
- Other info: Join a dynamic team where compliance is valued as a strategic partner.
- Why this job: Make a real impact in compliance and work closely with senior leaders.
- Qualifications: Experience in financial services compliance and strong communication skills.
The predicted salary is between 75000 - 80000 € per year.
Our award winning, multi-disciplinary advisory, tax and audit client with national and global presence, now seeks to recruit an experienced Compliance Manager.
Are you a seasoned compliance professional looking for a role where you can genuinely influence how a growing financial planning business operates? This is a fantastic opportunity to join a progressive advisory team where compliance is seen as a strategic partner to the business, not just a control function.
You’ll work closely with advisers and senior leaders, helping to shape processes, support high-quality advice and ensure the firm continues to meet the highest regulatory standards while it grows.
The Opportunity
This is a high-impact role within an expanding financial planning business. You’ll take ownership of the compliance framework while acting as a trusted advisor to the business, helping advisers deliver great client outcomes while navigating regulatory requirements with confidence.
It’s An Ideal Role For Someone Who
Is ready to step up into a senior compliance position, or wants to play a bigger, more strategic role in a growing advisory firm. You’ll have the autonomy to improve processes, influence culture, and shape how compliance supports the business.
What You’ll Be Doing
- Acting as the key contact for FCA regulatory compliance
- Maintaining and improving compliance policies, procedures, and controls
- Leading compliance monitoring, file reviews, and risk assessments
- Reviewing advice quality and client outcomes
- Managing and investigating complaints
- Supporting advisers with practical compliance guidance
- Delivering compliance training and adviser competency oversight
- Supporting AML, financial crime, and data protection frameworks
- Producing compliance insights and reporting for senior management
What Our Client Is Looking For
- Experience in financial services/advisory/wealth management compliance
- Strong understanding of FCA rules and regulatory frameworks
- Experience in compliance monitoring and risk management
- Excellent communication skills and the ability to build trusted relationships with advisers
- A proactive mindset and strong professional judgement
- Well qualified, minimum Level 4 or Advanced Diploma, Chartered status highly desirable.
Why This Role Stands Out
- Join a growing and ambitious financial planning business
- Work directly with senior leadership and experienced advisers
- A role where compliance is valued and influential
- Opportunity to shape processes and make a real impact
- Strong platform for career progression in compliance leadership
- The business offers genuine career opportunities and their reputation is second to none.
Compliance Manager in London employer: Recruit Wealth Limited
Join a dynamic and award-winning advisory firm in the heart of London, where compliance is not just a function but a strategic partner to the business. With a strong focus on employee growth, you will have the autonomy to influence processes and culture while working closely with senior leaders and advisers. Enjoy a flexible hybrid working environment and a clear pathway for career progression in compliance leadership, making this an exceptional opportunity for those looking to make a meaningful impact.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Manager in London
✨Tip Number 1
Network like a pro! Get out there and connect with people in the compliance field. Attend industry events, join relevant online forums, and don’t be shy about reaching out on LinkedIn. You never know who might have the inside scoop on job openings!
✨Tip Number 2
Prepare for interviews by researching the company’s compliance culture. Understand their values and how they integrate compliance into their business strategy. This will help you tailor your responses and show that you’re genuinely interested in making an impact.
✨Tip Number 3
Showcase your expertise! Bring examples of how you've improved compliance processes or navigated tricky regulatory waters in past roles. This not only highlights your skills but also demonstrates your proactive mindset and ability to influence culture.
✨Tip Number 4
Don’t forget to apply through our website! We’ve got some fantastic opportunities waiting for you, and applying directly can sometimes give you a leg up. Plus, it shows you’re serious about joining our team and contributing to our mission.
We think you need these skills to ace Compliance Manager in London
Some tips for your application 🫡
Tailor Your CV:Make sure your CV speaks directly to the Compliance Manager role. Highlight your experience in financial services and any specific compliance frameworks you've worked with. We want to see how your background aligns with what we're looking for!
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 influence our growing business. We love seeing candidates who can connect their skills to our mission.
Showcase Your Communication Skills:Since this role involves building relationships with advisers and senior leaders, make sure your application reflects your excellent communication skills. We appreciate clarity and professionalism in your writing!
Apply Through Our Website:We encourage you to apply through our website for a smoother process. It helps us keep track of applications and ensures you get all the updates directly from us. Plus, it shows you're keen on joining our team!
How to prepare for a job interview at Recruit Wealth Limited
✨Know Your Compliance Stuff
Make sure you brush up on FCA rules and regulatory frameworks before the interview. Being able to discuss specific regulations and how they apply to the role will show that you're not just familiar with compliance, but that you can genuinely influence how the business operates.
✨Showcase Your Strategic Mindset
This role is all about being a strategic partner, so be prepared to discuss how you've previously improved compliance processes or influenced company culture. Share examples of how your proactive mindset has led to better outcomes in past roles.
✨Build Rapport with Real Examples
Since communication is key, think of ways to demonstrate your ability to build trusted relationships with advisers. Use specific examples from your experience where you’ve successfully supported advisers or delivered training that made a difference.
✨Prepare for Scenario Questions
Expect questions that ask how you would handle specific compliance challenges or complaints. Prepare by thinking through potential scenarios and how you would approach them, showcasing your professional judgement and problem-solving skills.
