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About the Role
NOVA Wealth is seeking a technically excellent Compliance Manager to serve as the go-to expert on advice quality and marketing compliance. This role involves interpreting and applying FCA rules, maintaining the compliance monitoring plan, and supporting regulatory reporting and projects.
Responsibilities
- Run the advice quality, file checking, and monitoring programme, reviewing the suitability of holistic financial advice.
- Serve as the internal regulatory authority on advice, addressing suitability and regulatory questions.
- Interpret and apply FCA rules (especially COBS) practically to support timely advice delivery.
- Maintain the compliance monitoring plan and embed compliance within other teams.
- Support financial crime / AML checks and other second-line controls.
- Identify trends in advice quality and provide feedback for continuous improvement.
- Update policies, procedures, and training as rules and propositions evolve.
- Support the Head of Compliance with regulatory reporting, projects, and FCA interactions.
Requirements
- Deep technical advice knowledge, particularly on suitability and the technical detail of advice across investments, pensions, protection, and mortgages.
- A Level 4 or Level 6 Diploma in financial advice with a recognised professional body (CII, CISI, etc.) is preferred.
- Experience in compliance monitoring or advice, such as a file checker, compliance monitoring specialist, senior paraplanner, technical consultant, or experienced adviser.
- High attention to detail and the ability to explain technical points clearly and constructively.
- Strong working knowledge of the FCA Handbook (COBS), Consumer Duty, Financial Promotions, and the basics of financial crime / AML.
- A pragmatic, solutions-focused approach that supports advisers and facilitates business movement.
Skills
- Suitability rules
- Finprom rules
- Technical nuances of advice
- FCA rules (COBS)
- Financial crime / AML
- Compliance monitoring
- Advice quality review
- Regulatory reporting
Location
- 20 Farringdon Street
Work Type
- Hybrid remote working
- Flexible working hours
Experience Level
- Senior
Education Level
- Level 4 Diploma in financial advice
- Level 6 Diploma in financial advice
Salary/Compensations
- Competitive salary
Benefits
- Bonus
- Pension
- Private medical
- Income protection
- Death in service
- Potential for future equity
- Wellness / mental health support (Headspace App)
- Budget for additional learning / cost of exams
- Electric vehicle leasing through salary sacrifice
- Cycle to work scheme
About the Company
- NOVA Wealth is a fast-growing startup aiming to transform financial advice delivery in the UK.
- They leverage technology to empower advisers, improve service levels, and reduce administrative tasks.
- The company's mission is to create a game-changer in the advice industry, delivering better customer outcomes at a lower cost.
- They offer holistic financial advice across investments, pensions, protection, and mortgages through a digital approach.
- NOVA Wealth fosters an exceptionally open and diverse, multinational team within an entrepreneurial, creative environment.
Equal Opportunity
- Exceptionally open and diverse, multinational team