Clayton Davies Ltd

BASED OUT OF EITHER READING OR LONDON Our client is a leading Independent Financial Adviser (IFA) firm dedicated to providing trusted, client-focused advice across pensions, investments, and protection. As they continue to grow, they are committed to maintaining the highest standards of integrity, compliance, and governance. To support this, they are seeking an experienced Financial Crime Manager to strengthen their risk and compliance framework. The Financial Crime Manager will be responsible for overseeing all aspects of financial crime prevention and detection within the firm. This includes ensuring compliance with anti-money laundering (AML), counter-terrorist financing (CTF), anti-bribery, and fraud prevention regulations. You will work closely with senior management, advisers, and compliance colleagues to embed a culture of awareness and accountability. Role & Responsibilities: Develop, implement, and maintain the firm's financial crime framework, policies, and procedures. Act as the firm's Money Laundering Reporting Officer (MLRO) and/or Deputy MLRO (depending on structure). Monitor and report on AML and CTF risks, ensuring timely escalation of suspicious activity. Conduct and oversee customer due diligence (CDD), enhanced due diligence (EDD), and ongoing monitoring. Provide guidance, training, and support to advisers and staff on financial crime matters. Liaise with regulators, law enforcement, and other relevant bodies when necessary. Keep up to date with changes in legislation, FCA expectations, and best practice in financial crime prevention. Lead internal reviews and thematic assessments to ensure robust control effectiveness. Do you have the following to apply? Proven experience in a financial crime or compliance role within an IFA or wealth management is essential. Strong understanding of AML, CTF, and broader financial crime regulations under UK law. Due to the high volume of applications received we are unable to respond to everyone directly. If you are not contacted within 7 working days, you have unfortunately not been shortlisted. Clayton Davies is acting as an employment agency on behalf of our client.

LONDON OR READING BASED Our client leading national firm of Independent Financial Advisers, providing trusted financial planning and wealth management services to clients across the UK. With a strong reputation for professionalism and integrity, they're continuing to grow their national footprint and enhance their risk management capability to support their next phase of development. As Senior Enterprise Risk Manager, you'll play a pivotal role in embedding and strengthening the firm's enterprise risk framework. You'll work closely with senior leadership, the compliance function, and operational teams to ensure effective identification, assessment, and management of risks across the business. This is a hands-on and strategic position that will suit an experienced risk professional with strong stakeholder skills, sound regulatory awareness, and the ability to bring structure and insight to a dynamic, growing organisation. Role & Responsibilities: Lead the ongoing development and implementation of the Enterprise Risk Management Framework. Support the Executive and Board Risk Committee with risk reporting and analysis. Partner with business leaders to identify, assess, and mitigate key operational and strategic risks. Drive a strong risk culture across the organisation through communication, training, and practical guidance. Oversee risk event management and root cause analysis to ensure lessons learned are embedded. Work closely with Compliance, Audit, and Operational teams to align governance and control frameworks. Deliver high-quality management information and insight to support informed decision-making. Do you have the following to apply? Significant experience in enterprise, operational, or conduct risk management within financial services (ideally wealth management, IFA, or investment sectors). Excellent understanding of FCA regulations and the UK financial services risk environment. Proven track record of improving or embedding risk frameworks in growing or complex organisations. Due to the high volume of applications received we are unable to respond to everyone directly. If you are not contacted within 7 working days, you have unfortunately not been shortlisted. Clayton Davies is acting as an employment agency on behalf of our client.

Home Based (occasional visits to the Yorkshire office) Our client is a dynamic and expanding wealth management business, committed to helping our clients achieve their financial goals through bespoke, high-quality financial planning. They are looking for an experienced Paraplanner to support their team of Financial Advisers in delivering outstanding advice and service to their clients. Role & Responsibilities: Conducting detailed research and analysis on financial products and client portfolios Preparing high-quality suitability reports and client recommendations Assisting with cashflow modelling and financial planning scenarios Ensuring compliance with FCA regulations and company procedures Working closely with advisers to deliver a seamless client experience Do you have the following to apply? Level 4 Diploma qualified Experienced in a paraplanning or technical support role within financial planning/wealth management Experience of using Selectapension would be beneficial Due to the high volume of applications received we are unable to respond to everyone directly. If you are not contacted within 7 working days, you have unfortunately not been shortlisted. Clayton Davies is acting as an employment agency on behalf of our client.

Home Based (once a month in the London office) Benefits include; 8% employer pension Private Medical Insurance 8 x DIS Our client is a dynamic and expanding wealth management business, committed to helping their clients achieve their financial goals through bespoke, high-quality financial planning. They are looking for an experienced Paraplanner to support their team of Financial Advisers in delivering outstanding advice and service to their clients. Role & Responsibilities: Conducting detailed research and analysis on financial products and client portfolios Preparing high-quality suitability reports and client recommendations Assisting with cashflow modelling and financial planning scenarios Ensuring compliance with FCA regulations and company procedures Working closely with advisers to deliver a seamless client experience Do you have the following to apply? Level 4 Diploma qualified Experienced in a paraplanning or technical support role within financial planning/wealth management Due to the high volume of applications received we are unable to respond to everyone directly. If you are not contacted within 7 working days, you have unfortunately not been shortlisted. Clayton Davies is acting as an employment agency on behalf of our client.