Job Description 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 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. 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. Ability to work independently and influence stakeholders across the business. 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 Private medical cover Free Parking and on-site gym Apply today to be considered for this Compliance Manager opportunity. Additionally, refer a friend or colleague to us and receive £200 if we assist them in securing a new career.
Director, Regulatory & Quality Compliance in Northampton employer: Eden Rose
Total Waste Management is an exceptional employer, offering a dynamic work culture that fosters innovation and collaboration. With a strong focus on employee growth, this role provides clear pathways to senior positions, alongside a competitive bonus scheme and the opportunity to engage with large multi-site clients in the manufacturing sector. Join us to be part of a forward-thinking consultancy that values your contributions and supports your professional development.
