At a Glance
- Tasks: Lead compliance efforts and ensure adherence to FCA regulations in a dynamic financial environment.
- Company: Award-winning independent wealth management firm with strong family values.
- Benefits: Competitive salary, performance bonuses, private medical cover, and professional development support.
- Other info: Enjoy a vibrant team culture with regular events and excellent career progression opportunities.
- Why this job: Step into a meaningful leadership role and shape the future of compliance in finance.
- Qualifications: Experience in compliance or regulatory roles and a Level 4 Diploma in Financial Planning.
The predicted salary is between 70000 - 85000 £ per year.
Location: Northampton, Northamptonshire
Salary: £70,000 - £85,000 Per Annum
Employment Type: Permanent
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 is award-winning and family-owned and has developed a great business structure focused on looking after families and high-net worth clients around the Northamptonshire area.
The Role
The Manager – Compliance is responsible for supporting and enhancing the firm's 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 SMF16 (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.
What We’re Looking For
- Experience within 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.
Benefits Include
- 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
Compliance Manager in Northampton employer: Eden Rose
Eden Rose is an exceptional employer, offering a supportive team culture and a competitive salary for the Senior IFA Administrator role in the vibrant city of York. With a strong benefits package that includes health schemes and gym membership, employees are genuinely recognised for their contributions, fostering an environment where professional growth and client service excellence thrive.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Manager in Northampton
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like Eden Rose looking for candidates who are engaged and informed.
We think you need these skills to ace Compliance Manager in Northampton
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at Eden Rose. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at Eden Rose
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with Eden Rose’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
