My client offers a generous benefits package including 26 days holiday + bank holidays, annual bonus, strong pension, and comprehensive protection benefits.

I’m delighted to be recruiting on behalf of a highly respected and growing wealth management firm offering outstanding career development, hybrid flexibility, and a supportive team culture.

If you’re looking for a role where you can shape compliance standards, be valued, and make a meaningful impact—this is a fantastic opportunity.

Compliance Manager

Location: Edinburgh or Glasgow (preferred location: Glasgow)

Salary: £37,000 – £45,000 (DOE)

I’m working with a well-established wealth management organisation seeking a proactive and detail-focused Compliance Manager to join their expanding team. This role is pivotal in ensuring the firm meets all regulatory requirements and maintains strong internal governance. You will work closely with the Compliance Director and take ownership of key compliance oversight, monitoring, training, and reporting responsibilities.

• Monitor and enforce internal compliance policies and procedures
• Conduct Training & Competency (T&C) one-to-one meetings with advisers
• Review client files pre- and post-sale, providing constructive feedback
• Review and update company policies to reflect regulatory and industry changes
• Support regulatory reporting through research and collation of MI
• Investigate and help resolve compliance concerns or breaches
• Maintain accurate and organised records of compliance activity
• Collaborate with advisers and administration teams to support cross-functional compliance
• Prepare and deliver compliance-related training materials
• Stay current with FCA regulations and broader industry standards

• Level 4 qualified in financial advice / Diploma qualified (or close to obtaining)
• 1–3 years’ experience in a compliance or regulatory role (wealth management or financial planning desirable)
• Strong understanding of regulatory frameworks (FCA Handbook, GDPR, AML)
• Excellent written and verbal communication skills
• Strong analytical and problem-solving abilities
• High attention to detail and comfort handling confidential information

• Proficiency in Microsoft Office Suite, especially Excel
• Experience with compliance systems or back-office client management tools
• Knowledge of MCOB
• CeMAP or similar certification (advantageous)
• Professional, reliable, and able to work independently
• Flexible and comfortable managing a varied workload

• 26 days annual leave + 8 bank holidays
• Hybrid and flexible working - 2/3 days in the office the rest from home
• Flexible start and finish times
• Annual salary review
• Annual discretionary December bonus
• Pension: 5% employer / 4% employee
• Life assurance & critical illness cover (4× basic salary)
• Flexible benefits scheme (including additional leave purchase, medical benefits via salary sacrifice)
• Income protection (75% of basic salary)

This is a fantastic opportunity for a compliance manager to join a growing financial planning firm with offices in Glasgow and Edinburgh. For more information please click apply!