Compliance Manager (Financial Planning)

Compliance Manager (Financial Planning)

Location: Grantham / Hybrid

Salary: £40,000 - £45,000

Working Hours: 37.5 per week

Job Type: Full Time, Permanent

NJR Recruitment is delighted to be supporting a well-established and Chartered firm of Independent Financial Planners who have an excellent opportunity available as a result of their ongping growth and are seeking a Compliance Manager. This is a fantastic opportunity for someone looking to take ownership of compliance oversight, ensure best practices, and support the continued development of a high-performing team.

Key Responsibilities:

" Maintain, update, and monitor compliance standards including written policies and procedures

" Conduct file reviews and high-risk advice checks to ensure regulatory obligations are met

" Monitor and follow up on feedback from file reviews to ensure timely resolution

" Provide technical support and updates to team members

" Stay abreast of regulatory developments and ensure firm-wide adherence to new rules and guidance

" Advise management on regulatory issues and necessary changes

" Arrange and deliver training to team members around compliance and regulation

" Conduct regular competence assessments

" Assist with onboarding and certifying competency for new financial planners

" Carry out general compliance duties as needed, appropriate to experience and role

Requirements:

" Diploma in Regulated Financial Planning by the CII (or equivalent)

" Previous experience in a similar role within the financial services sector

" Strong knowledge of FCA regulations and compliance requirements

" Excellent communication and organisational skills

" Ability to work both independently and as part of a wider team

Benefits:

" Hybrid working model (part remote, part Grantham-based)

" Supportive and collaborative working environment

" Opportunity to play a key role in the development of a growing compliance function

If you're looking to step into a pivotal role with real influence and flexibility, we'd love to hear from you. Apply today with your CV or contact the team at NJR Recruitment for more information.

NJR16091