At a Glance
- Tasks: Manage compliance for appointed representative firms and assess firm-level risks.
- Company: Major UK financial advice network with a supportive culture.
- Benefits: Up to £55,000 salary, remote work, 26 days leave, and private medical insurance.
- Other info: Autonomy in managing your own schedule and excellent career development opportunities.
- Why this job: Gain diverse experience in compliance and build strong relationships with firm principals.
- 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 Wolverhampton 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 Wolverhampton
✨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 appointed representative firms. 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 your pitch! You’ll want to clearly articulate your experience in financial advice compliance and how you can add value to their team. Role-play with a friend or use a mirror to boost your confidence. The more you practice, the more natural it will feel when it’s showtime.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets seen. Plus, if your CV isn’t perfect, no worries! Just send what you have, and we’ll sort the rest later. Everyone deserves a chance, so take that leap!
We think you need these skills to ace Compliance Manager in Wolverhampton
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 enthusiasm for the role and what makes you unique.
Tailor Your CV:Make sure your CV highlights relevant experience in compliance and risk management. We’re looking for specific skills that match the job description, so tweak your CV to reflect that!
Clear and Concise Writing:We appreciate clear communication, so keep your application straightforward and to the point. Use bullet points where necessary and avoid jargon to make it easy for us to read.
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, we’ll get back to everyone, so you won’t be left hanging.
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.
✨Show Off Your Relationship 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 Judgement
Be prepared to showcase your analytical skills and sound judgement. Think of scenarios where you had to make tough decisions or challenge practices constructively, and be ready to discuss these during the interview.
✨Practice Clear Communication
Since you'll need to write clear reports and communicate effectively, practice articulating your thoughts clearly. Consider doing mock interviews with a friend to refine your communication style and ensure you can convey your ideas succinctly.
