Compliance Consulting Manager, Financial Planning


Compliance Consulting Manager, Financial Planning




Tom Martin
Here at Alexander Lloyd, we are partnering with an established, reputable Compliance consultancy business - one that caters specifically to the UK Financial Planning/Wealth Management world - who are looking to recruit a Manager into their team; in an expansive role, managing a team of 4 Consultants as well as your own portfolio of clients that are based in London and the Home Counties.

Within this role, your specific responsibilities will be to effectively manage a team - providing guidance and coaching to them in their day-to-day work of advising their own clients and completing the work that these clients require (monitoring, QA, T&C reviews etc.) - as well as providing sound advice and guidance to a portfolio of some of the firm's highest-profile clients.

To be successful in this role - and therefore successful with your application - it is essential that you have experience of working in a similar Compliance generalist advisory and team management role within the UK Financial Planning field. Experience across the broader wealth management or investment management sectors would also be considered, but this experience of managing a team and working directly with clients and checking the quality of work of Financial Advisors is essential. Holding the Level 4 Diploma would be beneficial, as would having previous held CF10/11 or SMF 16 or 17 responsibilities.

Apply now to find out more.

Please quote <47292> when calling Tom at Alexander Lloyd or email them at This is only one of many vacancies we are handling, Alexander Lloyd is a specialist within Financial Services recruitment. Areas of expertise include Compliance Directors, CF10/11, Risk Frameworks, Monitoring, Advisory, Policy, T&C, Quality Assurance/ File Review, AML/KYC, MLRO etc. across the entire financial services sector; including investments, wealth/asset management, insurance and FX. We offer resourcing solutions - both in executive search and contingent recruitment - across the whole of the UK.

Due to the high amount of interest that we receive for each of our roles unfortunately we cannot respond to each application individually, therefore if you do not hear back from one of our consultants you have not been shortlisted for this role. Please continue to check our website for any other roles which may be of interest.