Compliance Manager

Compliance Manager / Senior Compliance Manager

Manchester | Hybrid Working | Salary Negotiable

An exciting opportunity has arisen to join a growing financial planning business that is taking a fresh approach to advice, technology and compliance.

This is not a traditional compliance role within a large corporate structure. The business has ambitious growth plans and is looking for an experienced Compliance Manager or Senior Compliance Manager who wants to play an active role in shaping the future of the firm.

You'll join a highly entrepreneurial environment where technology and AI are being embraced to remove unnecessary administration, improve quality and create scalable processes. Rather than simply maintaining existing frameworks, you'll have the opportunity to influence how the compliance function evolves as the business grows.

The Role

This is a broad, hands-on position where you'll work closely with advisers and senior leadership, helping to create a modern compliance culture that supports growth and delivers excellent client outcomes.

Responsibilities will include

• Conducting case reviews and providing compliance oversight
• Supporting advisers and contributing to Training & Competence activities
• Developing and enhancing compliance frameworks and processes
• Driving a first-time-right culture across the business
• Identifying opportunities to improve efficiency through technology and AI
• Providing coaching, support and practical guidance to advisers
• Contributing to the design of scalable systems and controls
• Working with senior stakeholders to help shape the future operating model of the business

About You

This role would suit an experienced Compliance Manager or Senior Compliance professional who enjoys combining technical expertise with commercial awareness.

You will ideally

• Have experience within wealth management or financial planning
• Possess a strong understanding of FCA regulations and advice standards
• Have experience supporting advisers and Training & Competence activities
• Enjoy improving systems and processes rather than simply maintaining them
• Embrace technology and be open to the opportunities presented by AI
• Be commercially minded and solutions focused
• Enjoy working in a collaborative and entrepreneurial environment
• Be ambitious and excited by the opportunity to influence a growing business

The Opportunity

This is a genuine opportunity to join a business at an exciting stage of its development. The successful individual will have the chance to make a significant impact, work closely with senior leadership and help build a modern compliance function designed for the future.

There is clear scope for progression into a more senior leadership role as the business continues to expand.

Hybrid working is available, with offices based in Manchester.

Salary is negotiable and will reflect experience - our client will listen to all options.