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

Compliance Manager (Financial Advice)
Nova Wealth —London
- Full-time
- Hybrid work
- Flexible schedule
Quick apply
Head of Compliance (Financial Advice)
Nova Wealth —London
- Hybrid work
- Flexible schedule
Quick apply
Compliance Manager: Group Regulatory Compliance
Wise —London
- £68,000 - £92,000 a year
- Full-time
- Hybrid work
- Conflict management
- Analytics
Quick apply
8d
Manager Financial Crime Compliance (Non-Transactional)
UK Export Finance —London
- £63,500 - £78,971 a year
- Full-time
- Analysis skills
- Presentation skills
- Training & development
1d
Manager, Compliance
Intercontinental Exchange Holdings, Inc. —London
- £89,000 - £127,000 a year
- Full-time
- Master's degree
- Project management
- Bachelor's degree
Compliance Manager
Quilter —London
- Full-time
- Organisational skills
- Communication skills
Compliance Manager UK
Prima —London
- Hybrid work
- Organisational skills
- Communication skills
Quick apply
12d
Manager - Financial Crime Compliance (Transactional)
UK Export Finance —London
- £63,500 - £78,971 a year
- Full-time
- CRM software
- Writing skills
- Analysis skills
1d
Manager, Investigations, Diligence & Compliance
Kroll —London
- Full-time
- English
- Master's degree
- Business development
Compliance Manager
Creditspring —London
- Hybrid work
- Communication skills
Compliance Manager: Group Regulatory Compliance
Wise Australia Investments —London
- £68,000 - £92,000 a year
- Hybrid work
- Conflict management
- Analytics
8d
Risk, Compliance and Independence Manager
Gravita —London
- £50,000 - £60,000 a year
- Hybrid work
- Communication skills
Quick apply
Senior Compliance Manager - Compliance Monitoring
Quilter —London
- Full-time
- Mentoring
Compliance Advisory Manager, Prime (Institutional)
IG Group —London
- Full-time
- Hybrid work
- Bachelor's degree
- Business
Private Client Compliance - Trusts Manager
Cooper Parry —London
- Full-time
- Remote
- Mentoring
- Training & development
- Tax experience
EMEA Risk and Compliance Manager
Finance, Procurement, Legal, Privacy, Property —London
- Full-time
- Communication skills
- Analytics
- Employee discount
Risk & Compliance Manager (FTC)
The Shipowners Club —London
- Hybrid work
- Management
- Training & development
Compliance and Operational Risk Manager - Electronic Trading
Bank of America —London
- Full-time
- Bachelor's degree
- Communication skills
- Employee assistance programme
Senior Manager, Legal Project Management
White & Case —London
- Full-time
- Microsoft Powerpoint
- PMP
- Presentation skills
- Life insurance
Contract Manager (operations)
Civic Recruitment Limited —London
- Full-time
- Hybrid work
- Data analysis skills
- Analysis skills
- Continuous improvement
Quick apply
14d

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Compliance Manager (Financial Advice)

Nova Wealth
London

Quick apply

Job details

Full-time

Benefits

Cycle to work scheme
Company pension
Flexible schedule

Qualifications

Financial Conduct Authority guidelines
Pension
Organisational compliance experience
Financial compliance & regulatory experience
Certificate in Insurance
Corporate regulatory compliance oversight

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 london

Compliance Manager (Financial Advice)

Head of Compliance (Financial Advice)

Compliance Manager: Group Regulatory Compliance

Manager Financial Crime Compliance (Non-Transactional)

Manager, Compliance

Compliance Manager

Compliance Manager UK

Manager - Financial Crime Compliance (Transactional)

Manager, Investigations, Diligence & Compliance

Compliance Manager

Compliance Manager: Group Regulatory Compliance

Risk, Compliance and Independence Manager

Senior Compliance Manager - Compliance Monitoring

Compliance Advisory Manager, Prime (Institutional)

Private Client Compliance - Trusts Manager

EMEA Risk and Compliance Manager

Risk & Compliance Manager (FTC)

Compliance and Operational Risk Manager - Electronic Trading

Senior Manager, Legal Project Management

Contract Manager (operations)

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

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