Compliance Manager

Stellar Select; Greater Lincolnshire; Hybrid; GBP 35,000 - 45,000; Full time

Job summary

A leading financial services firm in the East Midlands is seeking a Compliance Manager to ensure regulatory standards are met and exceeded. The successful candidate will provide compliance guidance, oversee audits, and deliver training sessions. This role offers the chance for professional growth and a hybrid work environment, ideal for those with a diploma in regulated financial planning and relevant industry experience.

Benefits

22 days annual leave plus bank holidays

Private Medical Insurance

Enhanced sick pay

Employer pension contributions

Study leave

Qualifications

• Experience in a similar role within the financial services industry.
• Strong communication and interpersonal skills.
• Self-motivated and disciplined.

Responsibilities

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

Skills

Communication skills

Organizational skills

Teamwork

Self-motivated

Interpersonal skills

Training delivery

Education

Diploma in Regulated Financial Planning (CII)

Job description

Overview

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

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

• 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

• 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.

For more information regarding the role of Compliance Manager, please contact us

Stellar Select is acting as an employment agency and is a corporate member of the REC.

Due to a high volume of applications, we will only contact you if your application has been successful. We aim to contact all successful contacts within two business days.