Compliance and Supervision Manager

St. James's Place; Cirencester; Remote; GBP 65,000 - 85,000; Full time

Job summary

A financial services company in Cirencester is looking for a Compliance and Supervision Manager to lead regulatory compliance and training initiatives. The role requires strong leadership skills and experience in financial regulation. Candidates should have a proven track record in compliance and the ability to influence senior leadership effectively. This position offers a competitive annual leave, private medical insurance, and a non-contributory pension.

Benefits

Competitive annual bonus

28 days annual leave

Private medical insurance

10% non-contributory pension

Qualifications

• Proven experience in a compliance leadership role within financial services.
• Proven experience managing SM&CR requirements and T&C frameworks.
• In-depth knowledge of compliance in Partner/AR supervision environments.

Responsibilities

• Lead the development and maintenance of the T&C Scheme and compliance oversight framework.
• Monitor and manage annual competency and Fitness & Propriety requirements.
• Review and manage onboarding of approved individuals.

Skills

Leadership skills

Regulatory oversight

Relationship building

Excellent communication

Risk management

Education

Diploma in Financial Planning

Job description

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Compliance and Supervision Manager, Cirencester

Client: St. James's Place

Location: Cirencester, United Kingdom

Job Category: Other

EU work permit required: Yes

Job Reference:

9fe8f7250f97

Job Views:

5

Posted:

12.08.2025

Expiry Date:

26.09.2025

Job Description:

Are you ready to chart your own career path? With our refreshed strategy, we’re building on our rich heritage and transforming our business to be more scalable and efficient, unlocking the capabilities needed for future success. This includes significantly investing in technology, streamlining the way we work, and creating an environment where colleagues feel engaged, empowered, and accountable; where they can show up, speak up, and perform — because we believe in the difference our work makes.

At a glance:

• Workplace Type: Remote
• Employment Type: 12-month Fixed-Term Contract
• Seniority: Mid-Senior Level

About the Role

We’re looking for a skilled and confident Compliance and Supervision Manager to lead the design, implementation, and oversight of a robust training, competence, and compliance program across the Perennial Group and associated businesses. Acting as a senior compliance lead, you will play a pivotal role in embedding systems, policies, and controls that support strong regulatory standards and consistently positive client outcomes. This is a highly visible role where your expertise will directly influence our compliance culture, risk mitigation, and operational efficiency.

What You'll Be Doing

• Lead the development and maintenance of the Training & Competence (T&C) Scheme and compliance oversight framework.
• Monitor and manage annual competency and Fitness & Propriety requirements under SM&CR.
• Ensure timely updates to FCA registers and manage onboarding of approved/certified individuals.
• Carry out risk assessments, oversee compliance assurance visits, and perform trend analysis.
• Drive delivery of training needs analysis and implement related training programs.
• Lead Partner Acquisition Due Diligence exercises and regulatory assessments for new firms.
• Prepare and deliver meaningful Management Information (MI) and board-level risk dashboards.
• Advise senior leaders on legal and regulatory changes and oversee timely implementation.
• Ensure policies reflect regulatory expectations and are stress-tested for operational effectiveness.
• Act as a lead liaison for regulatory engagement and reporting, including FCA submissions.
• Champion cultural and ethical standards, promoting diversity, inclusion, and client fairness across the Group.
• Line manage and support compliance teams across Perennial and its associated firms.

Who We're Looking For

We're seeking a strategic and proactive compliance professional with strong leadership skills and experience in regulatory oversight, ideally within the financial advice or wealth management sectors. You’ll have a natural ability to build relationships with internal and external stakeholders and the confidence to provide senior-level advice and guidance. A strong grasp of SM&CR, T&C schemes, and client-centric outcomes is essential.

• Proven experience in a compliance leadership role within financial services.
• Proven experience managing SM&CR requirements and T&C frameworks.
• Ability to influence, lead teams, and deliver effective regulatory change.
• Excellent written and verbal communication skills with strong MI and report presentation capabilities.
• Diploma in Financial Planning (or working towards it).
• In-depth knowledge of compliance in Partner/AR supervision environments.

Special Requirements:

Please be aware that this position is a Certification role under the Senior Managers and Certification Regime.

What's in it for you?

We reward you for the work you do, whether that’s through our discretionary annual bonus scheme that reflects both personal and company performance, a competitive annual leave allowance (28 days plus bank holidays, with the option to purchase an additional 5 days), or online rewards platform with various discounts.

We also offer benefits to support all stages of life, including:

• Competitive parental leave (26 weeks full pay)
• Private medical insurance (optional taxable benefit)
• 10% non-contributory pension (increasing with length of service)

Reasonable Adjustments

We're an equal opportunities employer and want to ensure our recruitment process is accessible and inclusive for all. If you require reasonable adjustments at any stage, please let us know by emailing us.

Research indicates that applicants, especially from underrepresented groups, may be discouraged from applying if they do not meet all criteria or have taken an extended career break. If you believe you are a good match and can demonstrate transferable experience, please apply regardless of whether you meet every requirement.