At a Glance
- Tasks: Manage compliance for diverse firms, assess risks, and build strong relationships.
- Company: Major UK financial advice network with a supportive culture.
- Benefits: Up to £55,000 salary, remote work, generous leave, and health insurance.
- Other info: Great development potential in a dynamic and supportive environment.
- Why this job: Enjoy variety and autonomy while making a real impact in compliance.
- Qualifications: Experience in financial compliance and strong communication skills required.
The predicted salary is between 55000 - 66000 £ per year.
If your current compliance role has started to feel too narrow, this gives you more variety, more judgement and more to get your teeth into. You’ll work with appointed representative firms that need closer oversight, from new AR businesses and call centres to multi-brand firms and more complex operating models. It’s not just file review. It’s firm-level risk oversight: how the business is run, where the risks sit, what controls are in place and what needs fixing. You’ll have your own panel of AR firms, build relationships with firm principals and advisers, and use your judgement to coach, challenge and influence firms rather than simply report on problems from a distance.
Package and working pattern
- Up to £55,000 basic salary
- £6,000 car allowance
- Bonus, typically 10–20% of basic salary
- Broadly remote based role with 1/2 a day a week travelling
- 26 days’ annual leave, with the option to buy or sell holiday
- Private medical insurance
- Dental insurance
- 24/7 UK-based digital GP access
- Life assurance, critical illness cover and income protection
- Pension contributions and company share save scheme
- Free professional financial advice consultations
- 24/7 counselling helpline, Thrive wellbeing app and access to self-referred psychology/psychotherapy
Why this role may appeal
This is not standard file checking or routine annual tick-box supervision. The role sits in the team that looks after the more complex, non-standard or higher-risk AR firms. You’ll get:
- Broader exposure to firm-level risk, governance and controls
- Ownership of your own panel of appointed representative firms
- Direct relationships with firm principals and advisers
- A mix of home-based work and field visits
- The chance to use compliance judgement, not just follow a checklist
- A route from T&C, advice quality or file review into broader business risk and firm supervision
- Autonomy to plan your own diary and manage your own visits
- The backing of a large UK financial advice network with established systems and support
- Variety, with no two firms or visits likely to be exactly the same
- Strong development potential in AR oversight, business assurance, governance and regulatory supervision
What you’ll do
You’ll manage your own panel of appointed representative firms, acting as their main compliance contact. You’ll carry out supervision visits, assess firm-level risk, review governance, controls, adviser oversight and business practices, then identify where improvements are needed. You’ll work with firm principals to agree practical action plans, monitor progress and make sure issues are properly resolved. You’ll also provide coaching and feedback, write clear visit reports, escalate serious concerns where needed and work with internal teams to keep higher-risk firms operating within network standards.
What you’ll need
You’ll need experience in financial advice compliance, supervision, business risk, business assurance, T&C, advice quality or compliance monitoring. You should understand how financial planning or wealth management advice firms operate, and you’ll need experience assessing adviser or firm-level risk rather than only completing basic file checks. You’ll also need:
- QCF Level 4 / Diploma qualification or equivalent
- Strong communication and relationship-building skills
- The confidence to challenge firm principals and advisers constructively
- Good analytical skills and sound judgement
- Clear report writing skills
- The ability to manage your own diary and work autonomously
Location-wise, the role is likely to suit someone based in the Midlands, South, London, South East or along the M4 corridor.
About the company
The client is a major UK financial advice network supporting appointed representative firms and advisers across the country. It provides the regulatory, compliance, operational and investment infrastructure that allows advice firms to run their businesses safely and effectively within a larger network framework.
Looking for more variety? Click the apply button to find out more. Don’t worry if your CV is not fully up to date. Send what you have and we’ll deal with that later. Everyone will receive a response.
Compliance Partner in Bristol employer: Exchange Street Claims & Financial Services
As a leading UK financial advice network, we offer an engaging and dynamic work environment for Compliance Partners, where you can leverage your expertise to influence and coach appointed representative firms. With a strong focus on employee well-being, we provide comprehensive benefits including private medical insurance, a generous holiday allowance, and opportunities for professional growth in a supportive culture that values autonomy and innovation. Join us to enjoy a blend of remote work and field visits, all while making a meaningful impact in the compliance landscape.
Contact Details:
Exchange Street Claims & Financial Services Recruitment Team
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Partner in Bristol
✨Tip Number 1
Network like a pro! Get out there and connect with people in the compliance field. Attend industry events, join relevant online forums, and don’t be shy about reaching out on LinkedIn. Building relationships can open doors to opportunities that aren’t even advertised.
✨Tip Number 2
Show off your expertise! When you get the chance to chat with potential employers or during interviews, share your insights on firm-level risk and governance. This will demonstrate your knowledge and passion for the role, making you stand out from the crowd.
✨Tip Number 3
Be proactive! If you see a company you’re interested in, don’t wait for them to post a job. Reach out directly through our website and express your interest. A little initiative can go a long way in landing that dream job.
✨Tip Number 4
Prepare for those tricky questions! Think about how you would handle challenging situations with firm principals or advisers. Practising your responses will help you feel more confident and ready to impress during interviews.
We think you need these skills to ace Compliance Partner in Bristol
Some tips for your application 🫡
Be Yourself:When you're writing your application, let your personality shine through! We want to get to know the real you, so don’t be afraid to show your enthusiasm for the role and how your unique experiences make you a great fit.
Tailor Your CV:Make sure your CV highlights relevant experience in compliance and risk oversight. We’re looking for specific skills that match the job description, so tweak your CV to showcase your strengths in those areas.
Clear and Concise Writing:We appreciate clarity! When writing your application, keep it straightforward and to the point. Use bullet points where necessary and avoid jargon to ensure your message is easily understood.
Apply Through Our Website:Don’t forget to apply through our website! It’s the best way to ensure your application gets to us directly. Plus, if your CV isn’t fully up to date, just send what you have – we’ll sort out the details later!
How to prepare for a job interview at Exchange Street Claims & Financial Services
✨Know Your Compliance Stuff
Make sure you brush up on your knowledge of financial advice compliance and risk management. Understand the nuances of how appointed representative firms operate, as this will help you demonstrate your expertise during the interview.
✨Show Off Your Relationship-Building Skills
Since this role involves building relationships with firm principals and advisers, be ready to share examples of how you've successfully managed similar relationships in the past. Highlight your communication skills and ability to challenge constructively.
✨Prepare for Scenario Questions
Expect questions that assess your judgement and analytical skills. Prepare for scenarios where you might need to identify risks or suggest improvements. Think about how you would approach these situations and be ready to discuss your thought process.
✨Demonstrate Autonomy and Organisation
This role requires managing your own diary and visits, so be prepared to talk about how you prioritise tasks and stay organised. Share any tools or methods you use to manage your time effectively, as this will show you're ready for the autonomy the job offers.
