About this role
Compliance Manager – Financial Advice / Wealth Management
London | Hybrid
Circa £70k-90k
We are partnering with a fast-growing, technology-led UK wealth and financial advice business to appoint a Compliance Manager.
The firm provides holistic advice across investments, pensions, protection and mortgages, using technology to improve adviser efficiency and client outcomes.
This is a technically focused role, acting as the internal subject-matter expert on advice quality, suitability and financial promotions.
Key responsibilities include
- Running the firm's advice quality, file checking and monitoring programme.
- Reviewing suitability across investments, pensions, protection and mortgages.
- Acting as the internal expert on COBS, suitability and advice regulation.
- Maintaining the compliance monitoring plan.
- Supporting Financial Promotions reviews and wider second-line controls.
- Identifying trends in advice quality and feeding back to advisers.
- Supporting policy, procedure and training updates.
- Assisting the Head of Compliance with regulatory reporting, projects and FCA interactions.
The business is looking for someone with strong technical knowledge of regulated financial advice who can combine attention to detail with a pragmatic, supportive approach.
You will ideally bring
- Strong experience in compliance monitoring, file checking, paraplanning, technical advice or regulated financial advice.
- Deep knowledge of suitability, COBS, Consumer Duty and Financial Promotions.
- Exposure to investments, pensions, protection and ideally mortgages.
- Strong communication skills and the ability to challenge constructively.
- A Level 4 or Level 6 advice qualification would be highly advantageous.
This will suit someone who enjoys being the technical go-to person within a growing, entrepreneurial financial advice business.
About compliance & regulatory roles for ex-police
Compliance, AML and regulatory roles. Working to PACE, RIPA and CPIA is a stronger regulatory grounding than most civilian applicants can offer — firms increasingly recognise this.
See all compliance & regulatory jobs in London →Why this fits a police background
- Working to legislation & regulation
What compliance & regulatory roles pay ex-police
Advertised UK ranges, editorial estimates reviewed July 2026
| Compliance analyst | £32,000–£42,000 |
| Compliance / AML officer | £40,000–£55,000 |
| Compliance manager | £55,000–£80,000 |
| Senior manager / head of compliance | £80,000–£120,000+ |