Compliance Manager, London (hybrid). Up to £75k plus excellent benefits and annual bonus.
This is a growing Chartered IFA who have 50 staff. This is a strategic role, being the first dedicated compliance function for the financial planning arm of the business. We are looking for a strong generalist with T&C experience. It is a management level role, reporting into the MD for Financial Planning, and has potential to build a team around you as they continue to grow. On offer is a competitive salary, hybrid working, very good benefits and bonus.
The role:
*You’ll be responsible for developing, implementing and maintaining compliance policies, procedures, and controls to manage regulatory risk.
*Ensure the team complies with FCA rules and regulations, acting as the main contact for the regulator
*Provide advice, guidance, and training to staff to ensure understanding of compliance processes and responsibilities.
*Monitor client outcomes and adviser documentation to ensure suitability, fairness, and regulatory alignment.
*Investigate and resolve complaints in line with regulatory requirements and good client outcomes.
To apply:
*Strong knowledge of FCA rules and regulatory frameworks within financial services.
*Proven experience in a compliance role in financial services, ideally professional services.
*Experience in compliance monitoring, risk assessments, audits, and policy implementation.
*Familiarity with training and competence (T&C) schemes and adviser assessments.
*Strong written and verbal communication skills, with the ability to prepare reports and deliver training.
*Ability to build effective relationships with senior management and operational teams.
For further information about this and many other great opportunities within Financial Services, please contact Andrew Stark at Synchronicity Wealth.