Compliance manager (financial advice) Work, Jobs in Rainham, Gtl (with Salaries)

Compliance Manager (Financial Advice)
Nova Wealth —London
- Full-time
- Hybrid work
- Flexible schedule
Quick apply
Compliance Advice Manager, UK
Chubb —London
- Full-time
- Hybrid work
- Organisational skills
- Financial services
- Communication skills
- Annual leave
- Employee assistance programme
Senior Director, Head of International Network Compliance (EMEA)
Capital One UK —London
- Full-time
- Hybrid work
- In-person
- Leadership
- Communication skills
Head of Compliance (Financial Advice)
Nova Wealth —London
- Hybrid work
- Flexible schedule
Quick apply
Foreign Exchange Compliance Manager
Bibby Financial Services —Brentwood
- £60,000 - £65,000 a year
- Full-time
- Hybrid work
- Financial services
Quick apply
Manager, Investigations, Diligence & Compliance
Kroll —London
- Full-time
- English
- Master's degree
- Analysis skills
Compliance Manager - Insurance Regulation, AEU UK, Risk and Compliance Solution (UK)
Amazon EU SARL (UK Branch) —London
- Full-time
- SQL
- Bachelor's degree
Compliance Advisory Manager
IG Group —London
- Full-time
- Hybrid work
- Bachelor's degree
- Financial services
- Business
- Flexible schedule
Senior Manager, Digital Regulation, Ethics & Regulatory Compliance
Deloitte —London
- Hybrid work
- Business development
- Supervising experience
Compliance Manager
Creditspring —London
- Hybrid work
- Financial services
- Communication skills
9d
Risk & Compliance Manager (FTC)
The Shipowners Club —London
- Hybrid work
Compliance and Operational Risk Manager - Electronic Trading
Bank of America —London
- Full-time
- Sales
- Project management
- Bachelor's degree
- Employee assistance programme
Manager, Compliance
Intercontinental Exchange Holdings, Inc. —London
- £89,000 - £127,000 a year
- Full-time
- Master's degree
- Bachelor's degree
- Financial services
8d
Executive Director, Managing Counsel
Janus Henderson —London
- Hybrid work
- Analysis skills
- Organisational skills
- Financial services
EMEA Head of Corporate & Investment Bank Equities and Credit Markets Compliance - Executive Director
JPMorganChase —London
- Full-time
Compliance Advisory Manager, Prime (Institutional)
IG Group —London
- Full-time
- Hybrid work
- Bachelor's degree
- Financial services
- Business
4d
Senior Manager - Conduct & Compliance, Business & Commercial Banking Coverage
Lloyds Banking Group —London
- £85,500 - £129,547 a year
- Full-time
- Hybrid work
- AI
- Communication skills
11d
Senior Manager - Investment Compliance Advisory
Fidelity International —Cannon Street Station
- Full-time
- Communication skills
17h
Senior Compliance Manager (12 month FTC)
Starling —London
- Hybrid work
- Management
- Analysis skills
- Financial services
- Annual leave
- Employee discount
Quick apply
Compliance Transaction Reporting Manager
TP ICAP —London
- Full-time
- Financial services
- Communication skills

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compliance manager (financial advice) jobs near rainham, gtl

Compliance Manager (Financial Advice)

Nova Wealth
London

Quick apply

Job details

Full-time

Benefits

Cycle to work scheme
Company pension
Flexible schedule

Qualifications

Certificate in Insurance

Full job description

About NOVA

NOVA Wealth is a fast growing start up looking to change the face of financial advice and the way it's delivered in the UK. We firmly believe that a human adviser needs to be at the heart of every client relationship, however by leveraging technology we can empower our advisers to deliver higher levels of service and cut out a lot of the day to day admin that gets in the way.

At our core, we're here to build a game changer in the advice industry that delivers better customer outcomes, at a lower cost, for more people. Through customer-centric advisers supported by our innovative Lifeline technology, we empower our customers to go beyond just making smarter financial decisions to living the lives they dream of.

About the role

At NOVA, we like to do things differently. We deliver full holistic financial advice across investments, pensions, protection and mortgages in an entirely digital way, and we hold ourselves to an exceptionally high standard on advice quality.

We're looking for a technically excellent Compliance Manager to be our go-to expert on what good advice looks like. You'll be the person who really knows the detail; the suitability and Finprom rules and the technical nuances of advice across products. You will use that knowledge to keep our advice quality high and our marketing compliant as we grow.

You'll work closely with our Head of Compliance, our advisers, and our technical planners, balancing rigour with a practical, supportive approach that helps advisers do their best work for clients.

What you'll be doing

Running our advice quality, file checking and monitoring programme, reviewing the suitability of holistic financial advice across investments, pensions, protection and mortgages.
Being the internal regulatory authority on advice: the person people come to with the tricky suitability and regulatory questions.
Interpreting and applying FCA rules (especially COBS) in a practical, real-world way that supports good advice being delivered quickly.
Maintaining the compliance monitoring plan and working with other teams to embed compliance within them.
Supporting financial crime / AML checks and other second-line controls.
Spotting trends in advice quality and feeding back to advisers and the business to drive continuous improvement.
Helping keep our policies, procedures and training up to date as rules and propositions evolve.
Supporting the Head of Compliance with regulatory reporting, projects and FCA interactions.

Requirements

Deep technical advice knowledge. This is the most important thing. You really know your stuff on suitability and the technical detail of advice across investments, pensions, protection and mortgages.
- Advice qualification preferred. A Level 4 or Level 6 Diploma in financial advice with a recognised professional body (CII, CISI, etc.) is a real plus.
Compliance monitoring / advice experience. A background as a file checker, compliance monitoring specialist, senior paraplanner, technical consultant or experienced adviser.
Detail-oriented. High attention to detail, and the ability to explain technical points clearly and constructively to advisers.
Knowledge of the rules. Strong working knowledge of the FCA Handbook (COBS), Consumer Duty, Financial Promotions, and the basics of financial crime / AML.
Practical and commercial. While technical depth is the priority, you bring a pragmatic, solutions-focused approach that supports advisers and helps the business move quickly and safely.

You'll feel right at home if you're…

Helpful: random acts of kindness make the workplace a better place so, go out of your way to be helpful, and give people reasons to smile.
Straightforward: life is complicated enough. Don't make it harder for yourself, or for others. Sometimes the simplest approach works wonders.
Bold: every great business started with a flash of inspiration. If you've got a great idea, don't keep it to yourself

Benefits

Join a firm with genuine purpose and impact on our customers, along with a strong moral code
Competitive salary + benefits (bonus, pension, private medical, income protection, death in service)
Potential to get equity in the company in the future
Access to Wellness / mental health support (Headspace App + mental health support through private medical)
Budget for additional learning / cost of exams
Electric vehicle leasing through salary sacrifice / cycle to work scheme
Flexible working hours and hybrid remote working (typically 2-3 days a week working in the office (20 Farringdon Street))
Exceptionally open and diverse, multinational team
Entrepreneurial, creative environment

Quick apply

Refine Your Search

compliance manager (financial advice) jobs in rainham, gtl

Compliance Manager (Financial Advice)

Compliance Advice Manager, UK

Senior Director, Head of International Network Compliance (EMEA)

Head of Compliance (Financial Advice)

Foreign Exchange Compliance Manager

Manager, Investigations, Diligence & Compliance

Compliance Manager - Insurance Regulation, AEU UK, Risk and Compliance Solution (UK)

Compliance Advisory Manager

Senior Manager, Digital Regulation, Ethics & Regulatory Compliance

Compliance Manager

Risk & Compliance Manager (FTC)

Compliance and Operational Risk Manager - Electronic Trading

Manager, Compliance

Executive Director, Managing Counsel

EMEA Head of Corporate & Investment Bank Equities and Credit Markets Compliance - Executive Director

Compliance Advisory Manager, Prime (Institutional)

Senior Manager - Conduct & Compliance, Business & Commercial Banking Coverage

Senior Manager - Investment Compliance Advisory

Senior Compliance Manager (12 month FTC)

Compliance Transaction Reporting Manager

I want to receive the latest job alerts for compliance manager (financial advice) in rainham, gtl

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