Compliance Manager

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.