At a Glance
- Tasks: Manage compliance for diverse firms, assess risks, and coach firm principals.
- Company: Major UK financial advice network with a supportive culture.
- Benefits: Up to £55,000 salary, car allowance, bonuses, remote work, and health benefits.
- Other info: Autonomy in your role with excellent career development opportunities.
- Why this job: Gain broad exposure to compliance, governance, and make a real impact.
- Qualifications: Experience in financial compliance and strong communication skills required.
The predicted salary is between 55000 - 55000 € 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 Manchester 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 in compliance and risk oversight while offering the flexibility of remote work and field visits. Join us to build meaningful relationships with appointed representative firms and make a real impact in the financial advisory landscape.
Contact Detail:
Exchange Street Recruitment Recruiting Team
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Manager in Manchester
✨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
Prepare for those interviews by knowing your stuff! Research the company and its compliance practices. Be ready to discuss how your experience aligns with their needs, especially around firm-level risk and governance. Show them you’re not just another candidate; you’re the one they need!
✨Tip Number 3
Practice makes perfect! Conduct mock interviews with friends or mentors. Focus on articulating your thoughts clearly, especially when discussing complex compliance issues. The more comfortable you are, the better you’ll perform when it counts.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets seen. Plus, we’re all about making the process as smooth as possible, so you can focus on what really matters: landing that Compliance Manager role!
We think you need these skills to ace Compliance Manager in Manchester
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 in assessing firm-level risks and how you've handled complex situations in the past. This role is all about using your judgement, so be prepared to share specific examples.
✨Build Rapport with Firm Principals
Since you'll be working closely with firm principals and advisers, practice your relationship-building skills. Think about how you can establish trust and communicate effectively. During the interview, demonstrate your ability to challenge constructively and influence others positively.
✨Showcase Your Analytical Skills
Prepare to discuss how you approach risk assessment and governance reviews. Bring examples of how you've identified issues and implemented action plans in previous roles. Highlight your analytical skills and sound judgement, as these will be crucial in this position.
✨Be Ready for Scenario Questions
Expect scenario-based questions that test your problem-solving abilities. Think about potential challenges you might face in this role and how you would address them. This will show your prospective employer that you're not just a checklist follower but someone who can think critically and adapt to different situations.
