Compliance Advisory Manager

Posted 04 December 2023
Salary Negotiable
Job type Permanent
Discipline Compliance
Contact NameElla Nibloe

Job description

Compliance Advisory Manager Opportunity!

About the Role: Join the company as a Compliance Advisory Manager, ensuring adherence to laws, regulations, and internal policies. You'll guide business units, mitigate compliance risks, and drive a robust compliance culture. Responsibilities include regulatory impact assessments, compliance training, and collaborating with internal stakeholders.

Key Responsibilities:

  • Develop and maintain understanding of relevant laws and regulations.
  • Maintain Regulatory development log, providing timely updates.
  • Guide business units on compliance matters.
  • Deliver compliance training programs.
  • Monitor and assess the effectiveness of training programs.
  • Stay updated on industry trends and regulatory changes.
  • Collaborate with internal stakeholders for a coordinated compliance approach.
  • Support Senior Compliance Advisory Manager in investigations and responses.
  • Assist in ongoing regulatory and change programs.

About You: Specialist Skills, Qualifications, and Experience

  • Good experience in financial services compliance.
  • Relevant business qualification (Certified Regulatory Compliance Manager or CISI Compliance Diploma).
  • Ability for 'Thought Leadership' in interpreting regulatory rules and business impact analysis.
  • Working knowledge of the FCA Handbook.
  • Excellent analytical and problem-solving skills.
  • Good communication and interpersonal skills.
  • Ability to deliver compliance training.
  • Strong attention to detail and organizational skills.
  • Self-motivated.
  • Strong IT skills (particularly Excel and other MS office applications).


  • Similar role experience in a Wrap Platform business.

Key Contacts/Stakeholders:

  • Operations team, Sales team, Regulatory authorities, Third-party compliance contacts, Internal auditors.

Core Competencies:

  • Business Focus, Operational Excellence, Client and Customer Focus, Communication, Expert Knowledge, Working With Others, Performance Focus.

The company is an equal opportunities employer, fostering diversity and inclusion.

Apply now for a role that values your expertise!