NOVA

Financial Planning and Analysis

• Run the advice quality, file checking and monitoring programme
• Review suitability of holistic financial advice across investments, pensions, protection and mortgages
• Act as the internal regulatory authority on advice and handle complex suitability and regulatory questions
• Interpret and apply FCA rules, especially COBS, in a practical way
• Maintain the compliance monitoring plan and embed compliance across teams
• Support financial crime / AML checks and other second-line controls
• Identify advice-quality trends and provide feedback to advisers and the business for continuous improvement
• Keep policies, procedures and training up to date as rules and propositions evolve
• Support the Head of Compliance with regulatory reporting, projects and FCA interactions
• Work closely with the Head of Compliance, advisers and technical planners

Explore Compliance Manager – Financial Advice at NOVA. Review requirements and application details.

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Compliance Manager – Financial Advice