Senior Compliance Advice Manager

2 weeks ago

London, Greater London, United Kingdom Broadgate Full time £70,000 - £95,000 per year

Senior Compliance Advisory Manager
 

London (Hybrid)

A leading UK wealth management firm is looking for a Senior Compliance Advisory Manager who will support and deputise the Head of Compliance Advisory in providing regulatory guidance across the business and delivering practical technical advice to first-line teams,.

Key Responsibilities

  • Maintain compliance policies and deliver training.
  • Manage incidents, root-cause analysis and control improvements.
  • Oversee financial promotions and provide second-line approvals.
  • Oversee compliance for appointed representatives.
  • Support DSAR processes and FCA reporting requirements.
  • Deputise for the Head of Compliance Advisory on projects and governance matters.

What We're Looking For

  • 5+ years' compliance advisory experience in financial services or wealth management.
  • Strong knowledge of the FCA Handbook (COBS, SYSC, DISP).

  • Head of Immigration Advice and Compliance

    6 days ago

    London, Greater London, United Kingdom Goldsmiths, University of London Full time £63,655 - £71,557 per year

    Head of Immigration Advice and ComplianceDepartmentStudent and Academic Services DirectorateVacancy TypeOpen-ended/PermanentFull-Time/Part-TimeFull TimeSalary£63,655 - £71,157Actual Hours35FTE1.0Contact DetailsJordan Kenny, Posted Date01/12/2025Closing Date11/01/2026Ref No10595What makes Goldsmiths unique?Goldsmiths is a world-renowned university that has...

  • Group Compliance and Conduct Leader, Advice

    2 weeks ago

    London, Greater London, United Kingdom Policy Expert Full time £60,000 - £100,000 per year

    Policy Expert – Group Compliance and Conduct Leader, Advice & OversightAre you ready to transform the insurance industry?Policy Expert is a forward-thinking business that loves to get things done. Leveraging proprietary technology and smart data, we offer reliable products and a wow customer experience.Having achieved rapid growth since being founded in...

  • Group Compliance and Conduct Leader, Advice

    6 days ago

    London, Greater London, United Kingdom Policy Expert Full time £60,000 - £100,000 per year

    Policy Expert – Group Compliance and Conduct Leader, Advice & OversightAre you ready to transform the insurance industry?Policy Expert is a forward-thinking business that loves to get things done. Leveraging proprietary technology and smart data, we offer reliable products and a wow customer experience.Having achieved rapid growth since being founded in...

  • Advice Quality Assurance Senior Manager

    2 weeks ago

    London, Greater London, United Kingdom Evelyn Partners Full time £60,000 - £100,000 per year

    Company DescriptionEvelyn Partners is a UK leader in wealth management, providing personalised, expert investment management and financial planning advice to support clients in embracing what's next.Our success hinges on our people and that's our secret for longevity. We are a team of passionate professionals and everything we do is guided by our purpose -...

  • Advice Proposition Manager

    2 weeks ago

    London, Greater London, United Kingdom Ellis Bates Financial Advisers (now Shackleton) Full time £40,000 - £60,000 per year

    Hove, LondonJob title:Advice Proposition ManagerReporting to:Head of Advice Process & PropositionDate of Issue:October 2025Role ObjectiveSupport the Head of Advice process and proposition in the delivery and maintenance of advice process, advice guidance and adviser support in relation to those processes and guides.Key ResponsibilitiesSupport delivery of...

  • QMS Senior Project Manager

    1 week ago

    London, Greater London, United Kingdom Dot Compliance Full time £60,000 - £90,000 per year

    Dot is a cloud based, innovative software company and our product allows pharma and medical device customers to manage their quality processes electronically, replacing paper-based processes.As a Senior Project Manager, you will lead life sciences clients through their digital quality transformation journey. You will be responsible for managing...

  • Senior DC Investment Advice Manager

    2 weeks ago

    London, Greater London, United Kingdom UNIVERSITIES SUPERANNUATION SCHEME Full time £100,000 - £120,000 per year

    Senior DC Investment Advice Manager (DC/RI)Business Area: Investment Product ManagementPlace of Work: LondonContract Type: PermanentWhen you join USS, the size and scale of our pension scheme means you will have numerous opportunities to learn and develop your career. Given our size you'll have real autonomy and influence as you collaborate closely with a...

  • Senior Compliance Officer

    6 days ago

    London, Greater London, United Kingdom Beale & Co Full time £70,000 - £100,000 per year

    Job Role: Senior Compliance OfficerLocation: UK - Flexible (our office locations are London, Bristol, Glasgow, Dublin, Dubai and Toronto)We are seeking a Senior Compliance Officer with proven legal compliance and regulatory knowledge and experience, to further support the Compliance Department of the Firm. It is hoped that the scope of the role will expand...

  • Senior H&S Compliance Manager

    2 weeks ago

    London, Greater London, United Kingdom FirstPort Full time £40,000 - £70,000 per year

    Role: Senior H&S Compliance ManagerLocation: LondonSalary: Competitive Salary with a car allowance plus benefitsContract: PermanentHours: Monday to Friday – 9am to 5pm (35 hours per week)Why FirstPort?FirstPort, are on an ambitious journey to redefine excellence in UK residential property management. We are committed to elevating and resetting industry...

  • Compliance Manager

    2 weeks ago

    London, Greater London, United Kingdom Arch Insurance (UK) Limited Full time £60,000 - £100,000 per year

    With a company culture rooted in collaboration, expertise and innovation, we aim to promote progress and inspire our clients, employees, investors and communities to achieve their greatest potential. Our work is the catalyst that helps others achieve their goals. In short, We Enable Possibility℠.RoleSummary and PurposeWe are seeking a highly capable and...