Compliance Manager

TL;DR

Compliance Manager (FCA): Provide second-line compliance advice on FCA rule interpretation and application, and support oversight and assurance of actions tied to Compliance Policies. Focus on monitoring key compliance registers (personal account dealing, gifts & hospitality, conflicts of interest), analysing regulatory breach records, and supporting Senior Managers Certification Regime requirements with timely, accurate compliance reporting.

Location: London/Southampton

Company

hirify.global is a UK wealth manager providing financial advice, investments, and wealth management services.

What you will do

• Act as a generalist compliance technical specialist, advising on FCA handbook modules with emphasis on High Level Standards, Regulatory Processes, and Supervision.
• Oversee monitoring of Personal Account Dealing records to confirm adherence to policy requirements.
• Oversee Gifts & Hospitality registers monitoring to confirm adherence to policy requirements.
• Provide guidance on and monitor the centralised Conflicts of Interest register, including Other Business Interests.
• Analyse and report regulatory breach records in line with hirify.global policy and standards.
• Support Senior Managers Certification Regime requirements and produce timely, accurate compliance reports; partner with stakeholders across first and second line.

Requirements

• Proven experience providing compliance advice within an investment management, wealth management, or financial advice/distribution business.
• Strong knowledge of FCA regulatory requirements and practical application within a UK regulated firm.
• Ability to influence and challenge constructively with senior stakeholders, including senior management.
• Strong reporting and documentation skills, translating complex regulatory matters into practical guidance.
• Experience designing, implementing, and maintaining compliance policies, frameworks, and procedures.
• Experience leveraging technology and AI tools to enhance compliance processes and efficiency.

Culture & Benefits

• 26 days (182 hours) holiday plus an incentive scheme for all employees.
• Non-contributory company pension with option to boost via personal contributions.
• Private Medical Insurance (single cover by default) and Life Assurance (4x salary).
• Income Protection paying 75% of salary (less state benefits) after 26 weeks of absence.
• Flexible benefits available to UK employees via salary deduction.

Hiring process

• Interviews focused on compliance expertise, stakeholder communication, and practical application of FCA requirements.
• Assessment of experience with compliance monitoring, policy frameworks, and regulatory reporting.