Senior Compliance Manager

6 days ago

London, Greater London, United Kingdom Broadgate Full time

Senior Compliance Manager (6-month FTC)
Location: London or Reading

The leading UK wealth management firm providing client-focused financial advice, is seeking a Senior Compliance Manager to deliver day-to-day regulatory support and help maintain a strong compliance culture.

Key Responsibilities

  • Deliver day-to-day compliance advice to business teams.
  • Maintain policies, training and regulatory documentation.
  • Support acquisition projects and change initiatives.
  • Manage incidents, breaches and related analysis.
  • Review and approve financial promotions.
  • Monitor conflicts of interest and maintain records.
  • Support DSAR processes and complaint investigations.
  • Prepare and submit FCA reports and applications.
  • Produce compliance MI and support/deputise for the Head of Compliance.
  • Manage SMCR/FCA Directory updates and assist with PII renewals.

Experience & Skills

  • 10+ years' compliance experience, ideally in wealth management and compliance advisory roles.
  • Strong knowledge of the FCA Handbook (COBS, SYSC, DISP).
  • Ability to interpret regulation, challenge constructively and provide practical solutions.
  • Excellent communication and relationship-building skills at all levels.

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