Compliance Manager

Compliance Manager - Wealth Management - FTE £70,000 (£28,000)
Part time role - 2 full days a week
St Albans (Majority remote, travel to the office as and when required)

Looking for flexible working that doesn’t mean putting your career on hold? Or perhaps you're looking for a stepping stone to an SMF16 role?

This opportunity offers exactly that.

We’re working with a growing and long-standing Wealth & Investment Management firm delivering a full range of services including investment planning, advisory, execution-only, SIPP, and ISA solutions. With a strong blend of personal advice and smart technology (such as AI and automation to streamline their back office) they’re now looking for a Part-time Compliance Manager to play a key role in that journey.

What’s on offer:

• 2 days per week - your choice of working days

• Home-based, with roughly 2 office days per month in St Albans

• A potential path to stepping into the SMF16 (Head of Compliance) position as the business grows over the next few years

What you’ll be doing:

Reporting directly into the current SMF16 holder, you’ll lead day-to-day compliance across the business, developing a tailored and effective compliance framework. Your responsibilities will include:

• Creating and maintaining a robust Compliance strategy aligned to the firm's needs

• Reviewing and implementing policies, procedures, and control frameworks

• Monitoring relevant regulatory developments (e.g., MiFID, SYSC, SMCR, AML, GDPR)

• Leading regular audits, risk assessments, and internal reviews

• Proactively identifying risks and recommending improvements

• Communicating compliance expectations clearly across all levels of the business

What we’re looking for:

• Proven Compliance experience within wealth management, investment management, or a similar FCA-regulated environment

• Working knowledge of key regulations: MiFID, DISP, SYSC, SMCR, AML, GDPR

• Ability to challenge constructively and operate with independence

• Strong communicator with a collaborative approach and commercial mindset

Why this role?

Whether you’re returning to the profession or seeking more flexibility, this is a rare chance to make a real impact and move your career forward, whilst allowing you the flexibility to work part-time.

Apply now or reach out for a confidential discussion.