Compliance Manager

  • Bristol
  • from 55000
  • Permanent

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.

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