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Compliance Manager - Wealth Management - FTE £70,000 (£28,000)Part time role - 2 full days a weekSt 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:
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2 days per week - your choice of working days
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Home-based, with roughly 2 office days per month in St Albans
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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:
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Creating and maintaining a robust Compliance strategy aligned to the firm's needs
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Reviewing and implementing policies, procedures, and control frameworks
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Monitoring relevant regulatory developments (e.g., MiFID, SYSC, SMCR, AML, GDPR)
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Leading regular audits, risk assessments, and internal reviews
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Proactively identifying risks and recommending improvements
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Communicating compliance expectations clearly across all levels of the business
What we’re looking for:
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Proven Compliance experience within wealth management, investment management, or a similar FCA-regulated environment
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Working knowledge of key regulations: MiFID, DISP, SYSC, SMCR, AML, GDPR
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Ability to challenge constructively and operate with independence
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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.
