Compliance Manager in Northampton

James Phillip Recruitment are working with a local award winning Chartered Wealth company looking to take on a Compliance Manager.

The Compliance Manager is responsible for supporting and enhancing my clients compliance framework, ensuring the firm operates in accordance with all applicable FCA regulations, industry standards, and internal policies.

The role is designed as a key succession and development position within the firm.

The successful individual will be expected to progressively assume greater responsibility for the oversight of the compliance function, with the long-term objective of becoming the firm's SMF16 (Compliance Oversight) Function holder, subject to regulatory approval and demonstrating the necessary competence, capability, and experience.

Main roles

• Regulatory Compliance
• Compliance Monitoring of their Chartered advisers
• Uphold Consumer Duty and client outcomes
• Deliver training
• Regulatory reporting

Skills, Knowledge & Experience Essential

• Experience within a compliance, risk, or regulatory role in a financial services environment.
• Strong understanding of FCA regulation and the UK financial advice/wealth management sector.
• Excellent analytical, organisational, and communication skills.
• Ability to work independently and influence stakeholders across the business.
• Strong attention to detail and professional integrity.
• Level 4 Diploma in Financial Planning or equivalent financial services qualification.

Desirable

• Compliance-related qualifications (e.g., ICA, CISI, or equivalent).
• Experience supporting FCA-regulated advisory or wealth management businesses.
• Previous exposure to compliance monitoring and regulatory reporting.

Personal Attributes

• High ethical standards and sound judgement.
• Proactive and solutions-focused approach.
• Strong leadership potential.
• Ability to challenge constructively and influence positive outcomes.
• Commitment to continuous professional development.

Salary £75-£85k plus excellent benefits plus annual bonus