Full job descriptionCompliance Manager
Bristol | Up to £55,000 + bonus
Predominantly office-based | Full-time, permanent
A growing wealth management firm is looking for an experienced Compliance Manager to work across its financial planning and investment management.
This is a hands-on role where you’ll own the compliance monitoring programme, work directly with advisers and investment teams, and report to the firm’s senior compliance leadership.
Key duties
*Manage the risk-based compliance monitoring programme, coordinate file reviews and audits, and follow up on findings.
*Oversee day-to-day compliance across Consumer Duty, SM&CR, and training and competence.
*Review and sign off financial promotions and act as the first point of contact for staff compliance queries.
*Manage FCA Connect applications and RegData submissions, and prepare compliance reports for senior management and the Board.
*Oversee complaints handling and third-party due diligence, working with external compliance advisers where needed.
What we’re looking for
*Hands-on compliance experience covering both FCA-regulated financial planning and discretionary investment management.
*Experience running a compliance monitoring programme, reviewing financial promotions and handling FCA submissions.
*Working knowledge of Consumer Duty, SM&CR and MiFID II, including best execution.
*Ideally, experience with Intelligent Office (IO) and a relevant compliance or financial services qualification, or be working towards one. Experience working with an external compliance consultancy would be useful.
Benefits
*Salary up to £55,000, plus performance and profit-linked bonuses.
*Full benefits package.
The role is predominantly based in the Bristol office, with occasional travel to other locations.
Apply with your CV or get in touch for a confidential chat.