Position details
COMPLIANCE MANAGER
Location
Salary
Posted on
Reference
Salary
Posted on
Reference
Barnsley
£60000
01/05/2025
NJR15710
£60000
01/05/2025
NJR15710
DESCRIPTION
Compliance Manager - Independent Financial Advice Firm
Barnsley, South Yorkshire
Salary Up to 60,000 (DOE)
Sector: Financial Planning / Wealth Management
Are you an experienced Compliance Manager looking to step into a key leadership role within a growing Independent Financial Advice (IFA) firm? NJR Recruitment is proud to be partnering with a highly regarded financial planning business in Barnsley, who are now looking to appoint a knowledgeable and confident Compliance Manager to oversee their internal risk, regulatory, and file-checking functions.
This is a fantastic opportunity to join a firm with a strong client-first culture, offering autonomy, influence, and the opportunity to help shape future compliance strategy.
Role Overview:
As Compliance Manager, you\'ll work closely with senior management, advisers, and support staff to ensure the firm meets its FCA regulatory obligations and delivers high-quality, compliant advice.
Key Responsibilities Include:
\" Overseeing the firm\'s Compliance Monitoring Programme (CMP)
\" Conducting file reviews, giving constructive feedback to advisers and paraplanners
\" Keeping up to date with FCA regulations, Consumer Duty, and industry developments
\" Managing complaints, breaches, and incidents in line with regulatory procedures
\" Leading compliance training sessions and supporting the T&C scheme
\" Preparing documentation for audits and FCA reporting
\" Acting as the first point of contact for all internal compliance queries
Candidate Profile:
\" Previous experience in a compliance role within an IFA or wealth management firm
\" Solid knowledge of FCA rules, MiFID II, Consumer Duty, and financial planning regulations
\" Proven ability to conduct file checks and provide risk-based feedback
\" Excellent communication and interpersonal skills
\" Organised, analytical, and confident working independently
\" Level 4 Diploma in Regulated Financial Planning is essential, although Level 6 (or working towards) is preferred
What\'s On Offer:
\" Up to £60,000 basic salary, depending on experience
\" Flexible working options and a supportive culture
\" Opportunity to lead and influence the compliance function
\" Join a successful, forward-thinking financial planning firm with long-term ambitions
Interested?
If you\'re ready to bring your compliance expertise to a respected IFA firm and play a key role in shaping best practice, we\'d love to hear from you.
Apply now or contact NJR Recruitment quoting NJR15710 for a confidential discussion.
Barnsley, South Yorkshire
Salary Up to 60,000 (DOE)
Sector: Financial Planning / Wealth Management
Are you an experienced Compliance Manager looking to step into a key leadership role within a growing Independent Financial Advice (IFA) firm? NJR Recruitment is proud to be partnering with a highly regarded financial planning business in Barnsley, who are now looking to appoint a knowledgeable and confident Compliance Manager to oversee their internal risk, regulatory, and file-checking functions.
This is a fantastic opportunity to join a firm with a strong client-first culture, offering autonomy, influence, and the opportunity to help shape future compliance strategy.
Role Overview:
As Compliance Manager, you\'ll work closely with senior management, advisers, and support staff to ensure the firm meets its FCA regulatory obligations and delivers high-quality, compliant advice.
Key Responsibilities Include:
\" Overseeing the firm\'s Compliance Monitoring Programme (CMP)
\" Conducting file reviews, giving constructive feedback to advisers and paraplanners
\" Keeping up to date with FCA regulations, Consumer Duty, and industry developments
\" Managing complaints, breaches, and incidents in line with regulatory procedures
\" Leading compliance training sessions and supporting the T&C scheme
\" Preparing documentation for audits and FCA reporting
\" Acting as the first point of contact for all internal compliance queries
Candidate Profile:
\" Previous experience in a compliance role within an IFA or wealth management firm
\" Solid knowledge of FCA rules, MiFID II, Consumer Duty, and financial planning regulations
\" Proven ability to conduct file checks and provide risk-based feedback
\" Excellent communication and interpersonal skills
\" Organised, analytical, and confident working independently
\" Level 4 Diploma in Regulated Financial Planning is essential, although Level 6 (or working towards) is preferred
What\'s On Offer:
\" Up to £60,000 basic salary, depending on experience
\" Flexible working options and a supportive culture
\" Opportunity to lead and influence the compliance function
\" Join a successful, forward-thinking financial planning firm with long-term ambitions
Interested?
If you\'re ready to bring your compliance expertise to a respected IFA firm and play a key role in shaping best practice, we\'d love to hear from you.
Apply now or contact NJR Recruitment quoting NJR15710 for a confidential discussion.
Apply Now
