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    • Compliance Manager - City of London - mbf

    mbf
    mbf City of London

    2 months ago

    Description

    An established and rapidly growing team of Chartered Independent Financial Planners is seeking a talented Compliance Manager to join its London-based Financial Advisory team.

    This is a pivotal role for a compliance professional who wants to make both a strategic and hands-on impact within a respected, forward-thinking firm.


    The business provides holistic financial planning services, including wealth management, family protection, retirement planning, and property finance, with an emphasis on ethical and socially responsible investing.

    Supported by advanced cash-flow modelling tools and a secure client portal, the team delivers clear, visual, and actionable financial advice to individuals and families.


    As the Compliance Manager, you'll play a key role in ensuring the firm's continued adherence to FCA regulations and broader financial services requirements.

    You'll work closely with senior management to maintain and strengthen a culture of compliance and ethical practice across the advisory function.


    Key Responsibilities:
    Serve as the main regulatory contact for the FCA, managing submissions, reporting, and inspections.
    Develop, implement, and maintain compliance policies, procedures, and controls to manage regulatory risk.
    Conduct compliance monitoring, audits, and risk assessments, and maintain the compliance risk register.
    Review and approve client-facing documentation, including advice reports and marketing materials.
    Investigate and resolve client complaints in line with regulatory and ethical standards.
    Deliver compliance training and guidance to staff at all levels, embedding best practice across the business.
    Support systems and controls to prevent financial crime, including AML and data protection compliance.
    Conduct adviser assessments under the Training & Competence (T&C) scheme.
    Produce MI reports for senior stakeholders and represent compliance at management and board meetings.


    Skills, Knowledge, and Experience:
    Proven experience in a compliance role within financial services, ideally within a professional services or advisory firm.
    Strong working knowledge of FCA rules, AML, data protection, and financial crime prevention.
    Experience in compliance monitoring, risk management, and policy development.
    Excellent written and verbal communication skills.
    High level of integrity, sound professional judgement, and attention to detail.
    Familiarity with T&C schemes and adviser assessments.
    Relevant compliance, legal, or risk qualification (e.g. ICA, CISI, or equivalent) desirable.

    Why Join?
    This is a fantastic opportunity to join a growing, values-led business that combines professionalism with a truly people-focused culture.

    You'll be part of a collaborative environment that values innovation, ethics, and continuous learning — with real scope to develop your career and shape the compliance function for the future.

    Key Benefits
    Highly competitive salary to £75,000 appx plus bonus
    Highly flexible hybrid working model
    Twice-yearly salary reviews
    28 days' annual leave (including three days over Christmas)
    Private Medical Insurance and extensive wellbeing support
    Backing for CPD, professional qualifications, and career development
    Inclusive and forward-thinking culture


    If you're an experienced compliance professional looking for a role where your expertise will be valued, supported, and developed — this could be the perfect next step in your career.

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Compliance manager