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 - 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 Watford 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 Watford
✨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 Watford
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 what makes you tick.
Tailor Your CV:Make sure your CV highlights your experience in financial advice compliance and risk management. We’re looking for specific skills, so align your past roles with what we’ve mentioned in the job description to catch our eye!
Clear and Concise Writing:We love a good report, but keep your application straightforward. Use clear language and structure your thoughts logically. This will show us that you can communicate effectively, which is key for the Compliance Manager role.
Apply Through Our Website:Don’t forget to apply through our website! It’s the best way for us to receive your application and ensures you’re considered for the role. Plus, it’s super easy to do!
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 Skills
This role is all about building relationships with firm principals and advisers. Prepare examples of how you've successfully influenced or coached others in previous roles, and be ready to demonstrate your strong communication skills.
✨Be Ready to Challenge Constructively
The interviewers will want to see that you can challenge firm principals and advisers in a constructive way. Think of scenarios where you've had to provide tough feedback and how you approached those conversations.
✨Demonstrate Your Autonomy
Since this role involves managing your own diary and visits, be prepared to discuss how you prioritise tasks and manage your time effectively. Share examples of how you've worked independently and taken ownership of your responsibilities.
