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Contact
Director at Clayton Davies – 07515031496 / paul@claytondavies.com
Our client is a leading national IFA firm looking for an experienced Senior Compliance Manager to strengthen their governance framework and act as the main business partner for compliance support to the financial planning side of the business.
This is a key leadership role within their Compliance team, providing expert guidance and oversight to ensure the firm meets all regulatory obligations.
Role & Responsibilities
- Provide expert compliance and regulatory advisory support across the business, with a focus on financial planning and retail investment advice.
- Lead the interpretation and implementation of FCA rules, guidance, and policy changes, ensuring controls and processes remain robust.
- Act as a key point of contact for advisers, delivering clear guidance on complex compliance matters.
- Oversee thematic reviews, policy updates, and risk assessments.
- Influence and challenge senior stakeholders to ensure the firm operates within risk appetite and regulatory expectations.
- Support the development and delivery of compliance training, briefings, and guidance materials.
- Contribute to the firm’s Consumer Duty strategy and ongoing monitoring.
- Lead or support regulatory projects and strategic initiatives across the business.
Qualifications & Requirements
- Extensive compliance experience within an IFA, wealth management, or financial planning environment.
- Strong understanding of Conduct Rules is essential.
- Proven ability to interpret complex regulatory requirements and translate them into practical business solutions.
Due to the high volume of applications received we are unable to respond to everyone directly. If you are not contacted within 7 working days, you have unfortunately not been shortlisted.
Clayton Davies is acting as an employment agency on behalf of our client.
Seniority level: Mid-Senior level
Employment type: Full-time
Job function: Other
Industries: Financial Services and Investment Management
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