Senior Compliance Manager

About the role

We are seeking an experienced Senior Compliance Manager to join a respected FCA‑regulated wealth management firm in Mayfair, London. Working in a hybrid model, you will shape and strengthen the compliance framework, partnering with senior leadership, advisers and business stakeholders to drive regulatory excellence and positive customer outcomes.

Key responsibilities

• Deliver and enhance the firm’s risk‑based Compliance Monitoring Programme, including suitability and client file reviews.
• Produce management information, compliance reports and regulatory insights for senior leadership.
• Maintain and develop compliance policies, procedures and regulatory documentation to ensure ongoing FCA compliance.
• Provide practical guidance on FCA regulation, Consumer Duty, SMCR and regulatory change to advisers and the wider business.
• Support the financial crime framework, covering AML, sanctions, fraud controls and Consumer Duty monitoring.
• Collaborate with senior stakeholders to strengthen governance, improve regulatory processes and promote a positive compliance culture.

Required profile

• Experience within an FCA‑regulated wealth management, financial planning or investment management environment.
• Strong knowledge of FCA regulation, Consumer Duty, SMCR, AML and financial crime requirements.
• Proven ability to conduct suitability reviews, client file reviews and operate compliance monitoring programmes.
• Excellent communication and stakeholder management skills with a pragmatic, commercially focused approach.
• Proactive, collaborative mindset and a genuine passion for delivering positive customer outcomes.

Required skills

• Intelligent Office (IO)

What we offer

• Competitive salary £70,000‑£100,000 per year plus bonus and benefits.
• Hybrid working arrangement.
• Opportunity to influence compliance strategy within a growing independent firm.