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, car allowance, bonuses, and extensive health benefits.
- Other info: Flexible remote work with excellent career development opportunities.
- Why this job: Enjoy variety and autonomy while making a real impact in compliance.
- Qualifications: Experience in financial advice 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.
- 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 Manager in Birmingham employer: Exchange Street Recruitment
As a Compliance Manager with our major UK financial advice network, you'll enjoy a dynamic work environment that fosters professional growth and autonomy. With a competitive salary package, comprehensive benefits including private medical insurance and a strong focus on employee wellbeing, we prioritise your development and work-life balance. Join us to build meaningful relationships with appointed representative firms while navigating complex compliance challenges in a supportive and innovative culture.
Contact Detail:
Exchange Street Recruitment Recruiting Team
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Manager in Birmingham
✨Tip Number 1
Get to know the company inside out! Research their values, recent news, and how they operate. This will help you tailor your conversations and show that you're genuinely interested in being part of their team.
✨Tip Number 2
Network like a pro! Reach out to current or former employees on LinkedIn. Ask them about their experiences and any tips they might have for your interview. It’s all about making connections and getting insider info!
✨Tip Number 3
Prepare for situational questions! Think about how you would handle specific compliance scenarios. Use examples from your past experience to demonstrate your judgement and problem-solving skills. Show them you can think on your feet!
✨Tip Number 4
Don’t forget to follow up! After your interview, send a quick thank-you email. Mention something specific from your conversation to remind them of your chat. It shows your enthusiasm and keeps you fresh in their minds!
We think you need these skills to ace Compliance Manager in Birmingham
Some tips for your application 🫡
Be Yourself:When 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 unique style and approach to compliance.
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.
Clear and Concise Writing:Your written application should be easy to read and straight to the point. Use clear language and structure your thoughts logically. Remember, we appreciate good report writing skills!
Apply Through Our Website:We encourage you to apply directly through our website. It’s the best way to ensure your application gets to us quickly and efficiently. Plus, it shows you’re keen to join our team!
How to prepare for a job interview at Exchange Street Recruitment
✨Know Your Compliance Stuff
Make sure you brush up on your knowledge of financial advice compliance and risk management. Be ready to discuss your experience with assessing firm-level risks and how you've handled complex situations in the past.
✨Show Off Your Relationship-Building Skills
This role is all about building relationships with firm principals and advisers. Prepare examples of how you've successfully built rapport and influenced others in previous roles, as this will be key to your success.
✨Demonstrate Your Analytical Mindset
Be prepared to showcase your analytical skills during the interview. Think of specific instances where you've identified risks or issues and how you approached resolving them. This will highlight your judgement and problem-solving abilities.
✨Practice Clear Communication
Since you'll need to write clear reports and communicate effectively, practice articulating your thoughts clearly. You might even want to prepare a mock report or two to demonstrate your writing skills during the interview.
