Senior Compliance Advisory Manager — Hybrid London

Ascot Lloyd Group; City of London; Hybrid; GBP 60,000 - 80,000; Full time

Job summary

A leading wealth management firm in London is seeking an experienced Senior Compliance Advisory Manager to support compliance efforts. Responsibilities include developing policies, managing incident reports, and overseeing the financial promotions framework. The ideal candidate will have over 5 years in compliance advisory, strong FCA Handbook knowledge, and excellent communication skills. The role offers flexible, home-based work with occasional travel.

Benefits

Dynamic values-driven environment

Flexible home-based role

Opportunity to shape compliance culture

Qualifications

• Minimum 5 years’ experience in compliance advisory within financial services or wealth management.
• Strong knowledge of the FCA Handbook (COBS, SYSC, DISP).
• Proven ability to solve complex compliance issues.

Responsibilities

• Develop and maintain compliance policies.
• Manage incident reporting and recommend control enhancements.
• Oversee financial promotions framework and provide approvals.
• Identify and mitigate conflicts of interest.
• Manage due diligence and approval processes.

Skills

Compliance advisory experience

Knowledge of FCA Handbook

Problem-solving skills

Communication skills

MS Office proficiency

Job description

A leading wealth management firm in London is seeking an experienced Senior Compliance Advisory Manager to support compliance efforts. Responsibilities include developing policies, managing incident reports, and overseeing the financial promotions framework. The ideal candidate will have over 5 years in compliance advisory, strong FCA Handbook knowledge, and excellent communication skills. The role offers flexible, home-based work with occasional travel.