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Compliance Manager

2 months ago

Wiltshire, United Kingdom Davies Talent Solutions Full time

Our client, a leading and hugely ambitious financial advice network, are looking to appoint a pro-active & dynamic Compliance Manager. This pivotal role will see you working collaboratively with the Group Compliance team whilst also taking a lead on Compliance activities in the Wealth area of the business; providing advice & consultancy to Channel Heads and the Senior Management team whilst supporting business growth.

Key Responsibilities:

  • Assist in the development & execution of the Compliance plan at a Group Level, whilst leading on all Compliance activities within the Wealth division.
  • Provide expert compliance advice and guidance to senior stakeholders, fostering a culture of compliance.
  • Influencing senior leadership to ensure commercial objectives are balanced against their responsibilities under SMCR
  • Support the Head of Compliance in managing regulatory interactions, including FCA visits and thematic reviews.
  • Identify and mitigate compliance risks, ensuring the business operates within regulatory boundaries.
  • Collaborate with the Group Compliance team to implement and maintain effective compliance controls.
  • Build strong relationships with key stakeholders across the business.

This is an exciting opportunity to join a dynamic, growing business with clear career progression opportunity to develop with the business; take ownership of Compliance within the Wealth division; engage with Senior Stakeholders; and deliver a breadth of projects in an evolving business.

The ideal candidate will have demonstrable Compliance experience within Wealth / Investment Management or an Adviser network; in-depth knowledge of financial regulations; and a pragmatic approach to balancing commercial & strategic objectives with regulatory obligations. You will have excellent communication & inter-personal skills; strong analytical and problem-solving abilities; be self-motivated and results-oriented with a pro-active approach.