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Compliance Manager - Progression to Compliance Director - Hybrid - Guildford - Up to £80k

Financial Divisions
Posted 9 days ago, valid for 20 days
Location

Guildford, Surrey GU48EY, England

Salary

£42,000 - £50,400 per annum

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Contract type

Full Time

In order to submit this application, a Reed account will be created for you. As such, in addition to applying for this job, you will be signed up to all Reed’s services as part of the process. By submitting this application, you agree to Reed’s Terms and Conditions and acknowledge that your personal data will be transferred to Reed and processed by them in accordance with their Privacy Policy.

Sonic Summary

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  • The position of Compliance Manager offers a salary of up to £80k plus equity ownership in a dynamic IFA firm.
  • The role requires a minimum of 5 years' compliance experience in wealth management or financial services.
  • Key responsibilities include overseeing compliance activities, ensuring adherence to FCA regulations, and managing client onboarding processes.
  • The ideal candidate should possess strong analytical, communication, and leadership skills, along with a proactive and detail-oriented approach.
  • This opportunity provides a clear path to Compliance Director, along with performance-based bonuses and support for professional development.

Up to £80k + Equity Ownership

Are you a Compliance Manager looking for the next big step in your career? My client, a dynamic IFA firm that I’ve had the privilege of working with for several years, is offering an exciting opportunity to join their expanding team as a Compliance Manager, with a clear path to Compliance Director. This role combines the opportunity to take ownership of key compliance functions with the benefit of equity in the business. It’s an ideal position for a driven professional who is ready to help build a start-up company from the ground up, with all the benefits that come with being part of a growing organisation. If you're looking for an opportunity to make a significant impact and grow with a company, this is the role for you.

In this role, you will oversee all compliance activities, ensuring adherence to FCA regulations, AML requirements, and industry best practices. You will act as SMF16 and SMF17, leading compliance oversight and anti-money laundering efforts. You’ll also develop and implement policies, conduct risk assessments, and maintain comprehensive compliance frameworks. Managing client onboarding processes to ensure KYC and AML standards are met will be part of your responsibilities, along with providing compliance training, guidance, and support across the organisation.

The ideal candidate will have a minimum of 5 years’ compliance experience in wealth management or financial services, along with expertise in FCA regulations, Connex, and mortgage compliance. Strong analytical, communication, and leadership skills are essential, as well as a proactive, detail-oriented approach and a commitment to upholding the highest ethical standards.

In return, the company offers a competitive salary of up to £80k, plus performance-based bonuses, and the unique opportunity for equity ownership. You will be part of a collaborative, supportive environment that values compliance excellence and innovation, with a clear path for career progression and support for professional development.

This is your chance to shape the future of a growing financial advisory firm while advancing your career. If you’re ready to make a lasting impact, contact Joanna at Financial Divisions to learn more about this opportunity.

Apply now in a few quick clicks

In order to submit this application, a Reed account will be created for you. As such, in addition to applying for this job, you will be signed up to all Reed’s services as part of the process. By submitting this application, you agree to Reed’s Terms and Conditions and acknowledge that your personal data will be transferred to Reed and processed by them in accordance with their Privacy Policy.