Compliance Manager

Do you have knowledge and understanding of FCA principles with a excellent attention to detail?

Our client, a wealth management and financial well-being firm, are looking for a Compliance Manager to join their Bristol team.

Your Responsibilities:

• Monitor regulatory environment, recommend, and implement solutions for investment management
• Provide advice on asset management issues, investment restrictions, and fund regulations
• Prepare regulatory MI, draft reports, approve financial promotions, and ensure compliance
• Update compliance policies and monitor portfolio management systems
• Provide compliance advice on investment platform issues, collaborate with teams to minimise regulatory risk and ensure good customer outcomes
• Investigate and resolve FCA Rule breaches, conduct market abuse surveillance, and document all compliance activities

Your Skills:

• Strong knowledge of FCA principles, especially Consumer Duty, and the UK regulatory framework (MiFID, COBS, MAR)
• Understanding of FCA systems & controls for retail platforms; basic GDPR knowledge
• Competent Excel skills (e.g., pivot tables, VLOOKUPs)
• Knowledge of dealing, custody, and client assets
• Experience to know when to escalate issues, think critically, and challenge effectively
• High attention to detail

If this sounds like you, please apply today.