Compliance Manager
5 days ago
COMPLIANCE MANAGER – Financial Planning / Wealth ManagementBerkshire To £80,000Hybrid Working About the RoleAs Compliance Manager, you will be at the centre of the firm's regulatory integrity, ensuring full adherence to FCA requirements across COBS, SYSC, SM&CR, Consumer Duty, GDPR and AML. You'll design, implement and enhance the firm's compliance framework, support risk management, conduct monitoring and thematic reviews, and act as the principal liaison with the FCA. This role demands initiative, ownership and the ability to embed a culture of compliance throughout the business. Key Responsibilities • Hold SMF16/17 responsibilities and lead the firm's regulatory oversight • Monitor, interpret and implement FCA requirements including COBS, SYSC, SM&CR, Consumer Duty, AML and financial crime regulations • Develop and maintain compliance policies, procedures, manuals and governance documentation • Own and manage the Compliance Monitoring Programme including file reviews, thematic assessments, surveillance and process audits • Ensure product suitability frameworks are robust and deliver positive client outcomes • Oversee AML/CTF processes including CDD, EDD, sanctions screening, transaction monitoring and suspicious activity reporting • Act as FCA liaison, attending meetings, managing regulatory submissions and overseeing SM&CR records • Keep the business up to date through monthly compliance memos, ongoing training and annual refreshers • Work closely with central risk & compliance teams and external advisers to maintain alignment and strengthen controls • Provide clear, commercial regulatory guidance to advisers, leadership and wider teams • Manage complaints, conduct investigations, ensure root-cause analysis and implement remediation • Maintain compliance registers including GDPR, breaches, conflicts, financial promotions and PA dealing • Conduct risk assessments and horizon scanning, identifying regulatory risks and recommending action Skills & Experience Required • Minimum 5 years' experience in compliance within wealth management, IFA or related financial services environments • Strong and current knowledge of FCA Handbook requirements including COBS, SYSC, AML/MLR, Consumer Duty, suitability and governance standards • Skilled in policy creation, risk assessment, compliance monitoring and regulatory reporting • Confident communicator able to influence senior stakeholders and translate regulation into actionable business standards • High attention to detail with strong analytical and problem-solving skills • Experience handling financial promotions, suitability reviews, complaints and governance oversight • Ability to take full ownership of a compliance function and drive continuous improvement Qualifications • Diploma in Financial Planning (essential – no exceptions) • Professional compliance qualifications highly desirable (e.g. CISI, ICA, CII) Why Apply? • Hybrid working with flexibility in a supportive, forward-thinking environment • Autonomy to build and evolve the compliance function to your own standards • Opportunity to influence business direction and shape regulatory culture CV to jim.m@financialdivisions.co.uk
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Compliance Manager
1 week ago
Reading, United Kingdom Project People Full timeCompliance ManagerReading - Hybrid workingPermanentAre you passionate about embedding a culture of compliance and integrity across an organisation? We’re looking for a Compliance Manager to join our Governance, Risk, and Compliance (GRC) function. Reporting to the Lead GRC, you’ll play a key role in shaping and evolving our compliance framework while...
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Compliance Manager
1 week ago
Reading, United Kingdom Project People Full timeCompliance ManagerReading - Hybrid workingPermanentAre you passionate about embedding a culture of compliance and integrity across an organisation? We’re looking for a Compliance Manager to join our Governance, Risk, and Compliance (GRC) function. Reporting to the Lead GRC, you’ll play a key role in shaping and evolving our compliance framework while...
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Compliance Manager
1 week ago
Reading, United Kingdom Project People Full timeCompliance ManagerReading - Hybrid workingPermanentAre you passionate about embedding a culture of compliance and integrity across an organisation? We're looking for a Compliance Manager to join our Governance, Risk, and Compliance (GRC) function. Reporting to the Lead GRC, you'll play a key role in shaping and evolving our compliance framework while...
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Compliance Manager
2 weeks ago
Reading, United Kingdom Project People Full timeCompliance Manager Reading - Hybrid working Permanent Are you passionate about embedding a culture of compliance and integrity across an organisation? We're looking for a Compliance Manager to join our Governance, Risk, and Compliance (GRC) function. Reporting to the Lead GRC, you'll play a key role in shaping and evolving our compliance framework while...
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Compliance Manager
6 days ago
Reading, United Kingdom Project People Full timeCompliance Manager Reading - Hybrid working Permanent Are you passionate about embedding a culture of compliance and integrity across an organisation? We’re looking for a Compliance Manager to join our Governance, Risk, and Compliance (GRC) function. Reporting to the Lead GRC, you’ll play a key role in shaping and evolving our compliance framework while...
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Compliance Manager
2 weeks ago
Reading, United Kingdom Project People Full timeJob Description Compliance ManagerReading - Hybrid workingPermanentAre you passionate about embedding a culture of compliance and integrity across an organisation? We're looking for a Compliance Manager to join our Governance, Risk, and Compliance (GRC) function. Reporting to the Lead GRC, you'll play a key role in shaping and evolving our compliance...
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Compliance Manager
1 week ago
Reading, United Kingdom Project People Full timeCompliance Manager Reading - Hybrid working Permanent Are you passionate about embedding a culture of compliance and integrity across an organisation? We\'re looking for a Compliance Manager to join our Governance, Risk, and Compliance (GRC) function. Reporting to the Lead GRC, you\'ll play a key role in shaping and evolving our compliance framework while...
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Compliance Manager
2 weeks ago
Reading, United Kingdom Project People Full timeJob DescriptionCompliance ManagerReading - Hybrid workingPermanentAre you passionate about embedding a culture of compliance and integrity across an organisation? We're looking for a Compliance Manager to join our Governance, Risk, and Compliance (GRC) function. Reporting to the Lead GRC, you'll play a key role in shaping and evolving our compliance...
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Compliance Manager
11 hours ago
Reading, United Kingdom Pertemps SSDC RPO Pertemps Managed Solutions RPO Full time**Compliance Manager** Pertemps Managed Solutions are recruiting a Compliance Manager based at our delivery centre in Reading. Within this role you will lead and grow a Pre-Employment Screening service by being a motivated and inspirational leader, supporting the team in their developmentand knowledge through open communication and always ensuring...
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Compliance Manager
4 days ago
Reading, United Kingdom Roland Full timeOverview COMPLIANCE MANAGER JOB OUTLINE : Location: UK (Theale, Reading) or Belgium (Geel, Antwerp) Working Arrangement: Hybrid - 3 days a week in the office Reports to: Head ofEuropean Distribution Role Accountabilities Build, roll out, and maintain trade compliance policies and procedures so we’re always in line with EU, UK, and local laws. Run regular...
