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Compliance Manager

Our award winning, multi-disciplinary advisory, tax and audit client with national and global presence, now seeks to recruit an experienced Compliance Manager.

Are you a seasoned compliance professional looking for a role where you can genuinely influence how a growing financial planning business operates?

This is a fantastic opportunity to join a progressive advisory team where compliance is seen as a strategic partner to the business, not just a control function.

You’ll work closely with advisers and senior leaders, helping to shape processes, support high-quality advice and ensure the firm continues to meet the highest regulatory standards while it grows.

The Opportunity

This is a high-impact role within an expanding financial planning business. You’ll take ownership of the compliance framework while acting as a trusted advisor to the business, helping advisers deliver great client outcomes while navigating regulatory requirements with confidence.

It’s an ideal role for someone who:

  • Is ready to step up into a senior compliance position, or wants to play a bigger, more strategic role in a growing advisory firm.
  • You’ll have the autonomy to improve processes, influence culture, and shape how compliance supports the business.

What You’ll Be Doing:

  • Acting as the key contact for FCA regulatory compliance
  • Maintaining and improving compliance policies, procedures, and controls
  • Leading compliance monitoring, file reviews, and risk assessments
  • Reviewing advice quality and client outcomes
  • Managing and investigating complaints
  • Supporting advisers with practical compliance guidance
  • Delivering compliance training and adviser competency oversight
  • Supporting AML, financial crime, and data protection frameworks
  • Producing compliance insights and reporting for senior management

What our client is looking for:

  • Experience in financial services/advisory/wealth management compliance
  • Strong understanding of FCA rules and regulatory frameworks
  • Experience in compliance monitoring and risk management
  • Excellent communication skills and the ability to build trusted relationships with advisers
  • A proactive mindset and strong professional judgement
  • Well qualified, minimum Level 4 or Advanced Diploma, Chartered status highly desirable.

Why This Role stands out:

  • Join a growing and ambitious financial planning business
  • Work directly with senior leadership and experienced advisers
  • A role where compliance is valued and influential
  • Opportunity to shape processes and make a real impact
  • Strong platform for career progression in compliance leadership

The business offers genuine career opportunities and their reputation is second to none.

Please apply to us here at Recruit Wealth for an immediate response


Location: London (City) - Flex/Hybrid Working | Salary: £75000 - £80000 per month | Job type: Permanent | Posted: 11/03/2026

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