MERJE
Senior Wealth Management Compliance Manager (Contract)
Get notified of more jobs like this · No spam, ever
How your CV stacks up
Upload your CV to see how well it fits this job role
?%
Senior Wealth Management Compliance Manager (Contract)
Fully Remote | Outside IR35 | 3-12 Week Assignments
I am currently looking to speak with experienced independent consultants and contractors to support a range of regulatory review, assurance and due diligence engagements across the Wealth Management, Financial Planning and Pensions sector.
These assignments will support both pre and post-acquisition projects within FCA-regulated businesses and will require individuals who can confidently assess advice quality, identify regulatory risks and provide clear, risk-based recommendations.
I am particularly interested in individuals with a strong background in Wealth Management Compliance, Advice Reviews, Suitability Assessments and Regulatory Assurance.
What You'll Be Doing
Reasons to use Rodeo
Start with a chat, not a search bar
Grad scheme, placement, apprenticeship? Not sure what you want yet — that's fine. Your agent talks it through with you and turns "I have no idea" into a shortlist.
It searches the market for you
Every day your agent scans the market matching roles against what actually matters to you, not just keywords on a CV.
Only hits
No noise. No "maybe this fits." Just roles with a clear explanation of why they're right — and where to focus when applying.
Assignments are likely to include:
- Reviewing investment and pension advice files
- Assessing suitability of advice and customer outcomes
- Evaluating compliance with FCA requirements and Consumer Duty expectations
- Identifying regulatory, conduct and remediation risks
- Supporting regulatory due diligence reviews
- Producing findings reports and recommendations
- Supporting post-acquisition review activity
- Working independently across multiple review projects
What I am Looking For
Essential
- Significant experience within Wealth Management, Financial Planning, IFA or Pensions businesses
- Advice File Review experience
- Suitability Assessment experience
- Compliance Monitoring or Regulatory Assurance experience
- Strong understanding of Consumer Duty
- Strong understanding of FCA requirements and industry best practice
- Ability to identify regulatory risks and remediation requirements
- Excellent report writing and documentation skills
- Ability to work independently
Get help with your application
Your very own career expert that helps elevate your application to the next level.
Highly Desirable
- Regulatory Due Diligence experience
- Wealth Management acquisition experience
- Post-acquisition review experience
- Investment advice review experience
- Pension advice review experience
- Pension transfer review experience
- Previous consulting or contractor experience
- Section 166 experience
Qualifications
Desirable qualifications include:
- Level 4 Diploma in Financial Planning
- DipFA
- Advanced Pension Qualifications
- CISI qualifications
- Chartered Financial Planner status
“It took my CV and asked me questions relevant to understanding what kind of jobs to suggest for me. Suggestions were almost perfect. Jobs were exactly what I’ve been looking for.”
Jessica, London
Location