Compliance Manager (Financial Advice)
Role summary by JobGrid
Compliance Manager (Financial Advice) at Nova Wealth: London, United Kingdom; Hybrid; Full time; Finance, Legal & Compliance. JobGrid adds normalized role facts, source context, and a path to the employer application page so candidates can compare the listing before applying.
- Location and workplace: London, United Kingdom, Hybrid
- Role classification: Finance, Legal & Compliance, Full time
- Source freshness: checked by JobGrid on 2026-06-09.
- Application path: candidates continue to the employer application page with non-personal referral tags.
About NOVA
NOVA Wealth is a fast growing start up looking to change the face of financial advice and the way it's delivered in the UK. We firmly believe that a human adviser needs to be at the heart of every client relationship, however by leveraging technology we can empower our advisers to deliver higher levels of service and cut out a lot of the day to day admin that gets in the way.
At our core, we're here to build a game changer in the advice industry that delivers better customer outcomes, at a lower cost, for more people. Through customer-centric advisers supported by our innovative Lifeline technology, we empower our customers to go beyond just making smarter financial decisions to living the lives they dream of.
About the role
At NOVA, we like to do things differently. We deliver full holistic financial advice across investments, pensions, protection and mortgages in an entirely digital way, and we hold ourselves to an exceptionally high standard on advice quality.
We're looking for a technically excellent Compliance Manager to be our go-to expert on what good advice looks like. You'll be the person who really knows the detail; the suitability and Finprom rules and the technical nuances of advice across products. You will use that knowledge to keep our advice quality high and our marketing compliant as we grow.
You'll work closely with our Head of Compliance, our advisers, and our technical planners, balancing rigour with a practical, supportive approach that helps advisers do their best work for clients.
What you'll be doing
- Running our advice quality, file checking and monitoring programme, reviewing the suitability of holistic financial advice across investments, pensions, protection and mortgages.
- Being the internal regulatory authority on advice: the person people come to with the tricky suitability and regulatory questions.
- Interpreting and applying FCA rules (especially COBS) in a practical, real-world way that supports good advice being delivered quickly.
- Maintaining the compliance monitoring plan and working with other teams to embed compliance within them.
- Supporting financial crime / AML checks and other second-line controls.
- Spotting trends in advice quality and feeding back to advisers and the business to drive continuous improvement.
- Helping keep our policies, procedures and training up to date as rules and propositions evolve.
- Supporting the Head of Compliance with regulatory reporting, projects and FCA interactions.