Compliance Manager

Job Title: Compliance Manager

Location: Bristol

Salary: £45,000 – £55,000 + Bonus

Reference Number: 10673

Recruit UK is supporting our client, an established and growing Wealth Management firm in Bristol, with the recruitment of a Compliance Manager to join its team.

This is a hands-on role where you will be responsible for overseeing regulatory compliance across both the Financial Planning and Discretionary Investment Management sides of the business, working closely with senior management to ensure the firm continues to meet its regulatory obligations.

You'll play a key role in maintaining and developing compliance frameworks, managing regulatory reporting, overseeing monitoring activities and supporting the business as it continues to grow.

The role is predominantly based in Bristol, allowing you to work closely with Advisers, Investment Managers and the wider team, with occasional travel to London and other offices as required.

This is an excellent opportunity for an experienced Compliance professional who enjoys being involved in the day-to-day running of a business and wants to make a genuine impact.

Duties include:

• Managing and maintaining compliance monitoring plans
• Ensuring ongoing compliance with FCA regulations, Consumer Duty, SM&CR, MiFID II and other relevant requirements
• Overseeing compliance monitoring, file reviews and remedial actions
• Managing FCA Connect applications, RegData submissions and regulatory reporting
• Preparing compliance reports and management information
• Reviewing and approving financial promotions and marketing materials
• Support Training & Competence frameworks and maintain records
• Managing complaints, investigations and associated reporting
• Maintaining compliance policies, procedures and risk assessments
• Overseeing third-party due diligence and relationships with external compliance consultants
• Providing day-to-day compliance guidance and support to colleagues
• Supporting wider governance projects and regulatory developments

What's in it for you?

• Salary of £45,000 – £55,000, depending on experience
• Performance and profit-linked bonuses
• Comprehensive benefits package including: Group Life Cover, IP, DIS, PMI, Health plans, Pensions, 25 days holiday + BH + Birthday off increasing with service up to 30 days
• Flexible working, although preference to be predominantly in the office as need
• Varied, hands-on role within a growing Wealth Management firm
• Opportunity to influence and improve compliance processes and frameworks

Skills and experience required:

• Strong compliance experience within Financial Planning, Wealth Management or Discretionary Investment Management
• Good knowledge of FCA regulations, including Consumer Duty, SM&CR and MiFID II
• Experience with compliance monitoring, file reviews and regulatory reporting (FCA Connect / RegData)
• Experience preparing compliance reports and working with senior stakeholders
• Strong organisational, communication and problem-solving skills
• Ability to work independently and provide practical compliance guidance
• Experience with Intelligent Office (IO) and external compliance consultants, particularly ThreeSixty, would be advantageous
• Relevant compliance qualifications (ICA, CII or CISI) would be beneficial

This is a fantastic opportunity for an experienced Compliance Manager or senior Compliance professional looking for a varied, hands-on role within an established Wealth Management business.

If you're based in or around Bristol and have strong compliance experience within Financial Planning or Asset Management, please get in touch or apply now for a confidential conversation.