Compliance Manager reviewing broker - dealer and registered investment adviser communications for regulatory compliance. Working collaboratively with diverse business partners in a hybrid work environment.
About the role
- Head of Compliance leading the compliance function across Attivo's IFA business. Responsible for ensuring advice, operations, and culture meet regulatory standards.
Responsibilities
- Lead and develop the Compliance team, ensuring strong capacity planning, robust performance management, and continuous improvement.
- Maintain and enhance the Compliance Monitoring Programme, ensuring effective risk identification, audit trails, and follow-up.
- Act as the first point of contact for the FCA, managing regulatory returns, thematic reviews, and ad hoc requests.
- Provide expert advice on FCA regulations (PRIN, COBS, SYSC, SM&CR), AML and financial crime, and relevant legislative changes.
- Develop and maintain compliance policies, manuals, and procedures, ensuring they are regularly reviewed and embedded.
- Deliver training and awareness programmes across the business to promote regulatory understanding and a culture of compliance.
- Monitor adviser activity including onboarding, file checks and complaints handling, ensuring suitability of advice and consumer duty oversight.
- Work with internal stakeholders and external compliance partners to ensure alignment, value for money and best practice.
- Provide regular reporting and insight to the CRO, Executive Team and Board, highlighting emerging risks and strategic implications.
- Support firmwide change initiatives, acquisitions and projects with appropriate compliance input.
- Review and approve marketing material and client communications.
Requirements
- Previous experience in a compliance leadership role within a Financial Planning firm
- Detailed and current knowledge of FCA regulation and financial crime legislation
- Experience with compliance monitoring, risk frameworks and regulatory reporting
- Strong stakeholder management and communication skills
- Proven ability to lead and develop high-performing teams
- Analytical thinker with excellent attention to detail
- Highly organised, self-motivated and able to work under pressure
- Advanced Diploma in Financial Planning (Level 6)
Benefits
- Non-contributory Pension Scheme (8%)
- Private Medical Insurance
- Income Protection
- Critical Illness
- Death in Service
- CashPlan
- Generous holiday allowance, rising with length of service
- Work from home and flexible working available
- Parking allowance for employees who live over 1.5 miles away from the office
- Excellent culture, promoting employee wellbeing and engagement
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