Mayfair, London / Hybrid
£70,000 to £100,000 + Bonus & Benefits
Are you an experienced compliance professional looking for your next challenge within a respected FCA-regulated financial services business?
This is an excellent opportunity to join a growing, independent wealth management firm where you'll play a key role in shaping and strengthening the compliance framework while working closely with senior leadership, advisers and business stakeholders. You'll enjoy a varied, hands-on role with real influence, helping to drive best practice, regulatory excellence and positive customer outcomes.
If you're passionate about delivering pragmatic compliance advice and want to develop your career in a collaborative, forward-thinking environment, we'd love to hear from you.
What You'll Be Doing
Deliver and enhance the firm's risk-based Compliance Monitoring Programme, carrying out suitability and client file reviews while identifying trends and opportunities for improvement.
Produce management information, compliance reports and regulatory insights for senior leadership, supporting informed decision-making.
Maintain and develop compliance policies, procedures and regulatory documentation, ensuring ongoing FCA compliance.
Provide practical compliance guidance to advisers and the wider business on FCA regulation, Consumer Duty, SMCR and regulatory change.
Support the firm's financial crime framework, including AML, sanctions and fraud controls, while assisting with Consumer Duty monitoring and regulatory reporting.
Work closely with senior stakeholders to strengthen governance, improve regulatory processes, support Training & Competence activities and promote a positive culture of compliance.What You'll Bring
Experience working within an FCA-regulated wealth management, financial planning or investment management environment.
Strong knowledge of FCA regulation, Consumer Duty, SMCR, AML and financial crime requirements.
Experience conducting suitability reviews, client file reviews and operating Compliance Monitoring Programmes.
Strong report writing, compliance MI production and policy development experience.
Excellent communication and stakeholder management skills with the ability to provide pragmatic, commercially focused compliance advice.
A proactive, collaborative approach and a genuine passion for delivering positive customer outcomes.
Desirable:
Experience within an asset management business or supporting investment management activities.
Experience using Intelligent Office (IO).
ICA or another relevant compliance qualification.
If you've held any of these roles or used these technologies/skills, this role could be a great fit: Senior Compliance Manager, Compliance Manager, Compliance & Risk Manager, Senior Compliance Officer, Regulatory Compliance Manager, Compliance Monitoring Manager, Wealth Management Compliance, Financial Planning Compliance, Investment Management Compliance, Asset Management Compliance, FCA Compliance, Consumer Duty, SMCR, AML, Financial Crime, Compliance Monitoring Programme, Suitability Reviews, Client File Reviews, Intelligent Office (IO), ICA Qualification.
Deerfoot Recruitment Solutions Ltd is a leading independent tech recruitment consultancy in the UK. For every CV sent to clients, we donate £1 to The Born Free Foundation. We are a Climate Action Workforce in partnership with Ecologi. If this role isn't right for you, explore our referral reward program with payouts at interview and placement milestones. Visit our website for details. Deerfoot Recruitment Solutions Ltd is acting as an Employment Agency in relation to this vacancy
Salary description
£70000.00 - £100000.00 per year