Compliance Manager, Finance & Banking

Job

91014

Location

Northampton

Salary

£70,000 - £85,000 Per Annum

Employment Type

Permanent

• Location:
  
  Northampton, Northamptonshire
• Type:
  Permanent
• Job #91014
• Salary: £70,000 - £85,000 Per Annum

Compliance Manager (IFA) – Northampton (on-site) – Up to £85,000

We’re partnering with a highly regarded, independent wealth management and asset firm known for its strong family values and forward-thinking approach.

The firm are award winning and family owned and have developed a great business structure focused on looking after families and high-net worth clients around the Northamptonshire area.

The Manager – Compliance is responsible for supporting and enhancing the firms compliance framework, ensuring the firm operates in accordance with all applicable FCA regulations, industry standards, and internal policies.

The role is designed as a key succession and development position within the firm. The successful individual will be expected to progressively assume greater responsibility for the oversight of the compliance function, with the long-term objective of becoming the firm’s SMF
16 (Compliance Oversight) Function holder, subject to regulatory approval and demonstrating the necessary competence, capability, and experience.

This is an excellent opportunity for someone who wants to step into a meaningful leadership role within a respected firm that genuinely values independence and long-term succession planning.

• Experience with in a compliance, risk, or regulatory role in a financial services environment.
• Strong understanding of FCA regulation and the UK financial advice/wealth management sector.
• Knowledge of Consumer Duty and regulatory governance requirements.
• Excellent analytical, organisational, and communication skills.
• Ability to work independently and influence stakeholders across the business.
• Strong attention to detail and professional integrity.
• Level 4 Diploma in Financial Planning or equivalent financial services qualification.

• Performance related bonus + profit share
• Full financial backing and time off for professional qualifications
• Group pension scheme, income protection and death in service
• Mental health and wellbeing support
• Strong social culture with regular team events and away days
• Private medical cover
• Death in service benefit
• Free Parking and on-site gym