Compliance Manager

Compliance Manager - Wealth Management
Location: Liverpool (Hybrid Working Available)
Salary: Up to £60,000 + Benefits

An established and growing wealth management firm in Liverpool is seeking an experienced Compliance Manager to join their leadership team. This is a pivotal role within a highly professional business that prides itself on a client-first ethos, strong values, and a collaborative working culture.

You’ll be responsible for ensuring the firm continues to operate within FCA guidelines and maintains the highest standards of compliance oversight across its financial planning operations.

• Oversee the firm's compliance framework and act as the primary point of contact for all regulatory matters
• Maintain and update policies and procedures to ensure ongoing alignment with FCA requirements
• Conduct file reviews, adviser monitoring, and thematic checks
• Support the implementation of Consumer Duty across the business
• Deliver training, guidance, and support to advisers and internal teams
• Work closely with the Directors to support the firm’s continued growth and uphold its commitment to ethical, compliant advice

• Strong knowledge of FCA regulations and hands-on experience in a compliance role within a financial planning or wealth management firm
• Excellent communication and interpersonal skills - able to work confidently with advisers and senior management
• Proactive, solutions-focused, and commercially aware
• Ideally Diploma-qualified or working towards
• Experience supporting a growing firm or managing change processes is highly desirable

• Salary up to £60,000 depending on experience
• Hybrid working (3 days office, 2 remote)
• Collaborative team culture and modern working environment
• Discretionary bonus scheme
• Clear scope for personal development and long-term progression within a stable, forward-thinking business