Summary: The Compliance Manager will provide maternity cover for 9 months at a leading national Independent Financial Advisory firm, reporting directly to the CEO. This role involves maintaining and enhancing the compliance framework while ensuring regulatory adherence and best practices. The position requires close collaboration with senior leadership and oversight of compliance audits and file reviews. The successful candidate will act as a key compliance advisor and provide guidance across the business.

Key Responsibilities:

• Managing the compliance framework to ensure regulatory adherence and best practice.
• Oversight of file reviews (working alongside an outsourced partner).
• Leading a compliance audit scheduled for Q3, ensuring all regulatory requirements are met.
• Acting as a key compliance advisor to the leadership team.
• Providing compliance guidance and support across the business.

Key Skills:

• Financial planning/IFA compliance experience – a strong understanding of the regulatory landscape.
• Level 4 Diploma in Financial Planning (or working towards it) – highly desirable.
• Experience in managing compliance frameworks and audits.
• The ability to work independently and advise senior stakeholders.

Salary (Rate): undetermined

City: London Area

Country: United Kingdom

Working Arrangements: hybrid

IR35 Status: fixed-term

Seniority Level: Mid-Level

Industry: Finance