184 Investment Advisory jobs in the United Kingdom

The Compliance Manager will oversee and strengthen compliance processes within the financial services industry, ensuring adherence to regulatory frameworks.

Client Details

Mid-sized investment management firm.

Description

• To provide a proactive and technical service to the business on the interpretation and guidance of the FCA's rules (and any other relevant regulatory or legal issues that may apply);
• To provide impact assessment and gap analysis for any new FCA initiatives;
• Contribute to and take the lead in regulatory change and business change projects as required;
• 'Local' Consumer Duty and Product Governance Champion/SME for Compliance and Compliance lead for Vulnerable Customers;
• Compliance lead for SMCR and TC;
• Maintenance and improvement of Compliance policies in line with best practice and engagement with the business to ensure the embedding of said policies;
• Coordinate and deliver Compliance training, including induction training.

Profile

A successful Compliance Manager should have:

• Ability to interpret complex regulations and relay them practically to the business.
• Experience in interpretation and implementation of regulatory change within a business environment.

Job Offer

• Circa 75,000 equivalent salary, dependant on experience.
• Opportunity to work within a structured and professional environment in London.
• Chance to advance your career in the financial services industry.

If you are an experienced Compliance Manager looking to make an impact, we encourage you to apply for this exciting opportunity in London.

Recruit Wealth are delighted to be representing our fast growing, PE backed, national Financial Planning client with offices throughout the UK.

Our client now seeks to recruit several experienced Financial Planning Administrators to join their existing team in Cardiff, these are newly created roles to boost additional headcount.

The primary role of the Administrator is to support the Financial Planners and Paraplanners with the administration involved in the implementation of advice service. You will have key responsibility for ensuring client information is kept up to date and the Financial planners have everything needed in order to deliver exceptional service to clients.

Role Responsibilities:

• Ownership of the new business application process
li>Process new business within target/service level agreements
• Engage with providers and other 3rd parties to ensure that new business can be processed timely and effectively
• Work collaboratively and communicate effectively with internal colleagues as well as external professionals such as providers, solicitors and accountants
• Action Letters of Authority and

• Accurately onboard, update, and maintain compliant client and product records using iO and other systems.
• Support Financial Planners in preparing for client meetings by compiling relevant and compliant documentation.
• Monitor client transactions from initiation to completion, ensuring service levels are met and new business is processed promptly.
• Communicate financial information to clients in a clear and accessible manner.
• Produce client-facing documentation with high attention to detail, including letters, emails, and forms.
• Investigate and resolve income reconciliation, finance, and tax-related queries.

• A detail-oriented individual with strong organisational skills
• Excellent communication abilities, both written and verbal
• A team player who thrives in a fast-paced environment
• Experience in financial services administration (preferred)

• Prepare and manage documentation for client meetings, including reports, valuations, and application forms
• Process new business applications across pensions, investments, and protection products
• Liaise with product providers to obtain policy information and track application progress
• Draft client correspondence, including letters, emails, and meeting follow-ups
• Respond to client queries professionally, either directly or in support of the adviser
• Support the preparation and delivery of annual review meetings and ongoing servicing
• Ensure all work is carried out in accordance with FCA regulations and company procedures
• Assist with income reconciliation and the administration of fees and 

• Previous experience in a financial planning or wealth management environment (preferred)
• Strong organisational skills with excellent attention to detail
• Clear and professional communication skills, both written and verbal
• Proficiency in Microsoft Office and financial CRM systems
• Ability to work independently and as part of a small, collaborative team
• A proactive attitude with a willingness to learn and grow within the role

Are you a Financial Services Client Services Administrator looking to pursue a new opportunity?
A leading and successful client is looking to bring on an IFA Administrator to provide client-facing, administrative support within thebusiness.
This Savings and Investments firm prides itself on a strong values-focused work culture that encourages training and study support progression. They are technologically forward-thinking and have a strong history of promoting from within.

Benefits:

• Either full time or 5x shorter days
• Office based for first 6months, then hybrid (3days in the office)
• Competitive salary - Up to 35,000
• Pension contribution
• Competitive productivity bonus, in which all team members are included
• Group Death in Service
• Private Medical Insurance
• Increasing annually with service, up to 27 days, plus

Recruit Wealth are delighted to be representing our fast growing, private equity backed, national Financial Planning client with offices throughout the UK.

Our client now seeks to recruit several experienced Financial Planning Administrators to join their existing team in Warwick, these are newly created roles to boost additional headcount.

The primary role of the Administrator is to support the Financial Planners and Paraplanners with the administration involved in the implementation of advice service. You will have key responsibility for ensuring client information is kept up to date and the Financial planners have everything needed in order to deliver exceptional service to clients.

Role Responsibilities:

• Ownership of the new business application process
• Process new business within target/service level agreements
• Engage with providers and other 3rd parties to ensure that new business can be processed timely and effectively
• Work collaboratively and communicate effectively with internal colleagues as well as external professionals such as providers, solicitors and accountants
• Action Letters of Authority and

Hybrid – Cheshire Offices | £66,500 + excellent holidays, pension, health and other benefits

Are you an experienced finance professional with a strong background in business planning, treasury, and financial control ? We’re working with a highly respected housing trust in Cheshire who are looking to appoint a Financial Planning Manager to play a key role in their ambitious growth plans.

This is a fantastic opportunity to join a collaborative, values-driven organisation as part of their Leadership Community, reporting directly to the Director of Finance .

The Role

As Financial Planning Manager, you will:

• Lead on the 30-year business plan, stress testing and financial modelling (using BRIXX and other tools).
li>Provide financial leadership and business partnering to support a major development programme.
• Manage the Trust’s treasury function and loan portfolio.
< i>Oversee financial control, compliance and regulatory returns.
• Lead and motivate a small finance team, acting as a key liaison across the organisation.

About You

We’re keen to speak with finance professionals who can demonstrate:

< i>CCAB qualification (or equivalent) with evidence of continued CPD.
• Strong experience in business planning and financial modelling (including BRIXX or similar).
• Proven expertise in treasury management, statutory accounting and business partnering.
• A proactive, collaborative style with the ability to communicate financial information effectively at all levels.
• Experience in the housing sector would be advantageous, but not essential.

What’s on Offer

< i>Salary: £66,500 per annum li>Hybrid working
• Generous annual leave plus

• Build & maintain Power BI dashboards &automated reporting tools to provide visibility into financial performance, operational KPIs, & business drivers.
• Develop & deliver insightful monthly reporting packs, ensuring consistency & accuracy across actuals, forecasts, & plans.
• Contribute to planning & budgeting cycles by providing reporting support & analysis.
• Identify opportunities for process standardisation & drive initiatives to improve the efficiency & accuracy of financial reporting.

• Degree in Finance, Accounting, Business, or equivalent experience.
• Strong experience in Power BI development.
• Proficient in Excel and Power Query; knowledge of SAP is a plus.
• Proven ability to translate complex data into actionable insights.
• Strong business acumen and attention to detail.