Compliance Manager

Stellar Select Limited; Grantham, City Of London; Hybrid; GBP 35,000 - 45,000; Full time

Job summary

A respected accountancy firm is seeking a Compliance Manager to oversee regulatory compliance within its financial services arm. The role offers a blend of independence and collaboration, ensuring compliance standards are met while providing guidance and training to the team. Ideal candidates should have experience in financial services and a Diploma in Regulated Financial Planning. The position offers attractive benefits and hybrid working options.

Benefits

22 days annual leave plus bank holidays

Private Medical Insurance

Employer pension contribution

Study leave

Online fitness programmes

Team milestone awards

Qualifications

• Experience in a similar role within the financial services sector.
• Minimum of a Diploma in Regulated Financial Planning (CII) or equivalent.
• Clean UK driving licence.

Responsibilities

• Ensure the firm meets and exceeds regulatory compliance standards.
• Maintain and update compliance policies and procedures.
• Provide practical compliance guidance to advisers.

Skills

Strong communication skills

Organizational skills

Interpersonal skills

Presentational skills

Familiarity with FCA requirements

Education

Diploma in Regulated Financial Planning (CII)

Job description

Job Title: Compliance Manager

Location: Hybrid - East Midlands

Salary: £35,000-£45,000, depending on experience

Hours: Monday to Friday 9 am to 5.30 pm

Benefits:

• 22 days annual leave plus bank holidays, increasing with service
• Buying/selling annual leave scheme of up to 5 days.
• Private Medical Insurance
• Permanent Health Insurance
• Enhanced sick pay
• Enhanced family leave
• Death in service
• Discounted wills and power of attorney
• Employer contribution of pension starting at 3%, increasing with service
• Half a day paid leave for volunteering and charitable activities
• Employee Assistance Programme
• Healthcare workplace app
• Team milestone awards, in accordance with length of service
• Online fitness programmes
• Study leave
• Fully supported qualifications, training and CPD
• EV salary sacrifice scheme
• Development programmes
• Cycle to work scheme

About the position of Compliance Manager:

We are recruiting a Compliance Specialist for a highly successful, highly respected accountancy firm with a well-established and rapidly growing financial services arm specialising in life, pensions, investments, and wealth management.

This is an exceptional opportunity for paraplanners or financial planning professionals looking to transition into a dedicated compliance career, offering autonomy, career progression, and the chance to make a real impact. You will work closely with a small, supportive team alongside a Compliance Officer (one of the Directors) and the management team, taking responsibility for day-to-day file checks, competence assessments, training, and advisory support, with established policies and procedures already in place.

The role combines independence with collaboration, giving you the scope to review, enhance, and implement compliance processes, while contributing to a culture of quality and excellence. With hybrid working, excellent career development opportunities, centralised monitoring of compliance activity, and a highly collaborative environment, this role offers the perfect balance of responsibility, professional growth, and work-life flexibility within a firm that truly invests in its people.

Responsibilities for the role of Compliance Manager:

• Ensure the firm meets and exceeds regulatory compliance standards through regular file checks and audits.
• Maintain and update compliance policies, procedures, and best practices.
• Monitor and track adherence to file review feedback, driving timely completion of actions.
• Provide practical compliance guidance, technical updates, and support to advisers and paraplanners.
• Keep abreast of regulatory changes and advise management on implications for the business.
• Deliver engaging training sessions on compliance and regulatory matters.
• Onboard and certify new financial planners, supporting their competence development.
• Conduct regular competence assessments to maintain high standards across the team.
• Collaborate with the management team to enhance compliance processes and drive continuous improvement.
• Undertake other duties as required to support the growth and excellence of the firm.

Experience and skills required for the role of Compliance Manager:

• Experience in a similar role within the financial services industry, ideally with exposure to life, pensions, investments, and wealth management.
• Strong communication, interpersonal, and presentational skills, with the ability to ask the right questions and build professional relationships.
• Excellent organisational, administrative, and time management abilities.
• Self-motivated and disciplined, capable of working independently or collaboratively within a team.
• Minimum of Diploma in Regulated Financial Planning (CII) or equivalent.
• Clean UK driving licence.
• Familiarity with FCA-regulated financial services and compliance requirements.
• Ability to deliver training, support, and guidance to advisers and paraplanners.

Equal Employment Opportunity Statement: We are an equal opportunities employer and welcome applications from all qualified candidates.