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

Head of Compliance (Financial Advice)
Nova Wealth —London
- Hybrid work
- Flexible schedule
Quick apply
Compliance Manager (Financial Advice)
Nova Wealth —London
- Full-time
- Hybrid work
- Flexible schedule
Quick apply
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
12d
Deputy Head of MLRO (DMLRO) and Compliance
Nuvei —London
- Hybrid work
- English
- Financial services
- Communication skills
- Employee assistance programme
Quick apply
9d
Compliance Advice Manager, UK
Chubb —London
- Full-time
- Hybrid work
- Organisational skills
- Financial services
- Communication skills
- Annual leave
- 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
Senior Director, Head of International Network Compliance (EMEA)
Capital One UK —London
- Full-time
- Hybrid work
- In-person
- Leadership
- Communication skills
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
Head of Compliance
Edenred —London
- Full-time
- Master's degree
- Bachelor's degree
- Team management
Compliance and Operational Risk Manager - Electronic Trading
Bank of America —London
- Full-time
- Sales
- Project management
- Bachelor's degree
- Employee assistance programme
Senior Compliance Manager (12 month FTC)
Starling —London
- Hybrid work
- Management
- Analysis skills
- Financial services
- Annual leave
- Employee discount
Quick apply
Compliance Manager
Creditspring —London
- Hybrid work
- Financial services
- Communication skills
10d
Compliance Risk Lead
Selina Finance —London
- £60,000 a year
- Full-time
- Hybrid work
- Annual leave
Quick apply
Risk, Compliance and Independence Manager
Gravita —London
- £50,000 - £60,000 a year
- Hybrid work
- Communication skills
- Tax experience
Quick apply
10d
Senior Manager, Legal Project Management
White & Case —London
- Full-time
- Microsoft Powerpoint
- Microsoft Excel
- PMP
- Life insurance
Head of UK Compliance/ MLRO
FDJ UNITED —London
- English
- Communication skills
8d
Customs Compliance Lead
John Lewis & Partners —London
- £68,800 - £122,000 a year
- Hybrid work
- Travel
- Communication skills
- Negotiation
4d
Manager, Accounting and Controls Advisory, Audit & Assurance
Deloitte —London
- Hybrid work
- Management
- Accounting
- AI
Senior Manager - Investment Compliance Advisory
Fidelity International —Cannon Street Station
- Full-time
- Communication skills
1d

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compliance manager (financial advice) jobs near rainham, gtl

Head of Compliance (Financial Advice)

Nova Wealth
London

Quick apply

Job details

Benefits

Cycle to work scheme
Company pension
Flexible schedule

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've built a regulated advice business that delivers full holistic advice across investments, pensions, protection and mortgages in an entirely digital way. We see great compliance and risk management not as a brake on that, but as what lets us scale with confidence.

We're looking for a commercially minded Head of Compliance to own and lead our compliance & risk framework as we grow. This isn't a role for someone who treats compliance as a blocker. We want a senior leader who can weigh risk against opportunity, find the path to "yes", and help the business move quickly while protecting our customers and our licence to operate.

You'll sit at the heart of the business, working closely with our founders, advisers, marketing and product teams to make sure good customer outcomes and strong governance are built into everything we do.

What you'll be doing

Owning the firm's compliance, risk and financial crime framework, and evolving it as the business scales.
Acting as a true commercial partner to the management team. Helping the business grow quickly and safely, and finding pragmatic, risk-based routes to bring new propositions and journeys to market.
Embedding Consumer Duty and a good-outcomes mindset across advice, product and operations.
Maintaining our the relationship with the FCA, and keeping the business ahead of regulatory change through effective horizon scanning.
Overseeing our advice quality and monitoring framework so we maintain high standards as we scale, with support from two Compliance Managers and outsourced compliance specialists.
Advising the board on risk appetite, controls and emerging risks, with clear, commercially grounded judgement.
Building and leading the compliance function (the people, processes and tooling) as the firm grows. Fostering a culture of excellence and continuous improvement across the business.

Requirements

Commercial mindset. This is the most important thing. We want someone who can balance risk against opportunity, enable the business to grow, and reach for solutions rather than reasons to say no.
Strong risk manager. A proven ability to design and run a risk and controls framework in a regulated financial services business, and to make sound, defensible judgement calls.
Senior compliance experience. A track record in a compliance and/or risk leadership role at a UK FCA-regulated firm (ideally one that is scaling or has scaled). Experience holding (or readiness to hold) an SMF is important.
Knowledge of the rules that matter to us. Strong working knowledge of the FCA Handbook (COBS in particular), Consumer Duty, SMCR and financial crime / AML.
Advice background (preferred). Experience in or close to regulated financial advice is a real plus. Having worked in financial advice, qualified as an adviser, or having designed advice propositions will help you hit the ground running. But we care more about commercial judgement and risk management.
Startup mentality. Comfortable being hands-on, wearing multiple hats and building things from scratch in a fast-moving environment.

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

Head of Compliance (Financial Advice)

Compliance Manager (Financial Advice)

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

Deputy Head of MLRO (DMLRO) and Compliance

Compliance Advice Manager, UK

Manager, Compliance

Senior Director, Head of International Network Compliance (EMEA)

Foreign Exchange Compliance Manager

Manager, Investigations, Diligence & Compliance

Head of Compliance

Compliance and Operational Risk Manager - Electronic Trading

Senior Compliance Manager (12 month FTC)

Compliance Manager

Compliance Risk Lead

Risk, Compliance and Independence Manager

Senior Manager, Legal Project Management

Head of UK Compliance/ MLRO

Customs Compliance Lead

Manager, Accounting and Controls Advisory, Audit & Assurance

Senior Manager - Investment Compliance Advisory

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