Compliance Manager – North London

recruitukltd Salary: £70,000 - £85,000 DOE

Our client is a Boutique Financial Management Group that offers a unique blend of financial planning and portfolio management to their Private and Corporate clients. They individually tailor their service providing advice on investments and pensions, tax and estate planning and more, and ensure that their advice is independent and holistic.   They have won numerous ‘New Model Adviser’ awards that support their passion for good and unique advice, professionalism and transparency.


They have a requirement for a Compliance Manager to join their team.  The role holder will report directly into the Compliance Director and board and will hold CF11 acting as the main point of contact for AML reporting within the business.  There is a possibility that the role holder could hold CF10 but this isn’t a requirement.


The ideal candidate will have experience of reporting into and at Board level, will be able to collate MI information in order that the board can appropriately identify risks to the business.  The individual will prepare and implement a comprehensive compliance monitoring programme to monitor the Group’s adherence to the FCA rule book and guidance along with other regulatory matters.


Other responsibilities will include:

  • Assist with implementation of GDPR
  • Ensure that the Group is compliant with new rules and regulations, such as MiFID II
  • Monitor the Groups’ representatives
  • Overseeing and monitoring client money and assets activities
  • Overseeing the completion of GABRIEL reporting
  • Overseeing regulatory reporting and notifications including approved persons and change in control
  • Implementing Groups’ T&C procedure
  • Reviewing the Groups’ financial promotions
  • Maintaining the Firms’ compliance registers
  • Liaising with the FCA


This is a senior level role and they are keen to find someone with similar experience gained within an IFA and Wealth Management environment.  They are looking to pay from £60,000 – £85,000 dependent on experience and level of responsibility and offer excellent employee benefits.


This is ideal for someone located near to or within easy commutable distance from Finchley, North London.



If you are interested in this position and wish to make a further enquiry, please contact Louise Sheppard on 0117-917-0411. Quote reference 12197


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