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: Autonomy in your role with excellent career development opportunities.
- Why this job: Gain unique insights into complex firms and make impactful changes.
- 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 Northampton employer: Exchange Street Claims & Financial Services
As a leading UK financial advice network, we offer our Compliance Partners a dynamic and rewarding work environment that prioritises professional growth and autonomy. With a focus on firm-level risk oversight, you'll enjoy the flexibility of a broadly remote role while building meaningful relationships with appointed representative firms. Our comprehensive benefits package, including private medical insurance and a strong emphasis on employee wellbeing, ensures that you are supported both personally and professionally as you navigate the complexities of compliance.
Contact Details:
Exchange Street Claims & Financial Services Recruitment Team
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Partner in Northampton
✨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 to reach out on LinkedIn. Building relationships can open doors that a CV just can’t.
✨Tip Number 2
Show off your expertise! When you get the chance to chat with potential employers, share your insights on firm-level risk and governance. This not only demonstrates your knowledge but also shows you’re genuinely interested in the role and ready to contribute.
✨Tip Number 3
Prepare for those interviews by brushing up on your analytical skills and judgement. Think of real-life scenarios where you’ve had to assess risks or coach firms. Being able to discuss these experiences will set you apart from the competition.
✨Tip Number 4
Don’t forget to apply through our website! It’s super easy and ensures your application gets the attention it deserves. Plus, we’re all about making the process smooth for you, so why not take advantage of that?
We think you need these skills to ace Compliance Partner in Northampton
Some tips for your application 🫡
Be Yourself:When you're writing your application, let your personality shine through! We want to see the real you, so don’t be afraid to show your passion for compliance and how you can bring value to our team.
Tailor Your CV:Make sure your CV highlights your experience in financial advice compliance and risk assessment. We’re looking for specific skills, so align your past roles with what we’ve mentioned in the job description to catch our eye!
Showcase Your Judgement Skills:Since this role involves a lot of decision-making and influencing, share examples in your application where you've used your judgement effectively. We love seeing how you’ve tackled challenges in the past!
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, it makes the whole process smoother for everyone involved.
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 built rapport in previous roles. Highlight your communication skills and how you’ve influenced others positively.
✨Prepare for Scenario Questions
Expect questions that assess your judgement and analytical skills. Prepare for scenarios where you might need to challenge a firm’s practices 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 manage your time effectively. Share any tools or methods you use to stay organised and ensure you meet deadlines.
