Compliance manager (financial advice) Work, Jobs in St Albans, Hrt (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
Executive Director, Managing Counsel
Janus Henderson —London
- Hybrid work
- Analysis skills
- Organisational skills
- Financial services
Head of Compliance (Financial Advice)
Nova Wealth —London
- Hybrid work
- Flexible schedule
Quick apply
Manager, Investigations, Diligence & Compliance
Kroll —London
- Full-time
- English
- Master's degree
- Analysis skills
Compliance Manager, Macquarie Asset Management
Macquarie Group Limited —London
- Full-time
- Hybrid work
- Communication skills
- Annual leave
- Work from home
Senior Director, Head of International Network Compliance (EMEA)
Capital One UK —London
- Full-time
- Hybrid work
- In-person
- Leadership
- Communication skills
Senior Manager, Legal Project Management
White & Case —London
- Full-time
- Microsoft Powerpoint
- Microsoft Excel
- PMP
- Life insurance
Lead Cyber, Governance, Risk and Compliance Manager
Department for Business and Trade —London
- £66,257 - £82,200 a year
- Part-time
- Hybrid work
- Master's degree
- Presentation skills
- IT
2d
Financial Crime Compliance Manager
Vodafone —London
- Full-time
- English
- Accounting
- Annual leave
Senior Manager, Digital Regulation, Ethics & Regulatory Compliance
Deloitte —London
- Hybrid work
- Business development
- Supervising experience
Global Financial Crimes Compliance - Monitoring and Testing Manager
M&G plc —London
- Full-time
- Analysis skills
- Organisational skills
- IT
- Annual leave
Compliance Manager - Insurance Regulation, AEU UK, Risk and Compliance Solution (UK)
Amazon EU SARL (UK Branch) —London
- Full-time
- SQL
- Bachelor's degree
Chief Compliance Officer - Alipay International UK
Ant Group —London
- Microsoft Powerpoint
- Microsoft Word
- Microsoft Excel
Compliance Manager, Amazon Payments UK
Amazon Payments UK Limited —London
- Full-time
- Organisational skills
- Financial services
- Communication skills
Compliance and Administration Manager
Wilson James —London
- £45,000 a year
- Full-time
- Microsoft Excel
- Microsoft Office
- Analysis skills
- Annual leave
- Employee discount
Senior Compliance Manager (12 month FTC)
Starling —London
- Hybrid work
- Management
- Analysis skills
- Financial services
- Annual leave
- Employee discount
Quick apply
Technical FM Compliance Manager - Sky Spaces
Emcor —Isleworth
- Up to £50,000 a year
- Full-time
- Microsoft Powerpoint
- Travel
- Leadership
- Employee assistance programme
- Referral programme
Quick apply
Process and Compliance Lead
Lockheed Martin Corporation —Ampthill
- Full-time
- Communication skills
- Employee assistance programme
- Employee discount
2d
Manager, Accounting and Controls Advisory, Audit & Assurance
Deloitte —London
- Hybrid work
- Management
- Accounting
- AI
2d

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compliance manager (financial advice) jobs near st albans, hrt

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 st albans, hrt

Compliance Manager (Financial Advice)

Compliance Advice Manager, UK

Executive Director, Managing Counsel

Head of Compliance (Financial Advice)

Manager, Investigations, Diligence & Compliance

Compliance Manager, Macquarie Asset Management

Senior Director, Head of International Network Compliance (EMEA)

Senior Manager, Legal Project Management

Lead Cyber, Governance, Risk and Compliance Manager

Financial Crime Compliance Manager

Senior Manager, Digital Regulation, Ethics & Regulatory Compliance

Global Financial Crimes Compliance - Monitoring and Testing Manager

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

Chief Compliance Officer - Alipay International UK

Compliance Manager, Amazon Payments UK

Compliance and Administration Manager

Senior Compliance Manager (12 month FTC)

Technical FM Compliance Manager - Sky Spaces

Process and Compliance Lead

Manager, Accounting and Controls Advisory, Audit & Assurance

I want to receive the latest job alerts for compliance manager (financial advice) in st albans, hrt

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