Compliance Manager – Financial Advice

🕒 June 3

🏢🏡 London – Hybrid

⏰ Full Time

🟡 Mid-level

🟠 Senior

💸 Financial Planning and Analysis (FP&A)

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NOVA

WebsiteLinkedInAll Job Openings

11 - 50 employees

We take the uncertainty out of your finances – with straight-talking advice to help you do more with your money.

📋 Description

• - 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