Compliance Manager (Financial Planning)
NJR Recruitment
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
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