Compliance Manager

Financial Divisions; Thatcham; On-site; GBP 60,000 - 80,000; Full time

Job summary

A prominent IFA business in Thatcham is seeking a Compliance Manager to lead their compliance function and ensure adherence to regulatory standards. This role offers the opportunity to fully shape the compliance strategy and play a pivotal role in business growth. The ideal candidate will be proactive and possess deep regulatory knowledge. This firm values career development and offers potential pathways to board membership for the right individual.

Qualifications

• Experience with FCA, COBS, SYSC, SM&CR, Consumer Duty, GDPR, and AML regulations.
• Ability to design and implement compliance frameworks.
• Experience in risk management and conducting compliance reviews.

Responsibilities

• Ensure adherence to FCA requirements across all business functions.
• Enhance the firm’s compliance framework.
• Support risk management and conduct thematic reviews.

Skills

Proactive approach

Creative problem-solving

Strong understanding of FCA requirements

Regulatory compliance expertise

Team leadership

Job description

Looking for a role where you can genuinely shape the future of a growing IFA business? Join a firm enjoying consistent year-on-year organic growth, backed by the capital strength of a wider network — yet with zero risk of being swallowed by a consolidator. Senior management are actively expanding the business and need a stronger, more strategic compliance function to match their long-term ambitions. You’ll join the senior leadership team, influence business planning, and help steer future growth. Having partnered with this firm for years and placed people at all levels — all still happily working there — I can say confidently: they build careers, not jobs. For the right person, there’s also a long-term route to board membership as well.

Are you a proactive, creative and forward-thinking compliance professional who wants full ownership of a vital function inside an expanding Independent Financial Advice business? This is your opportunity to take a Compliance Manager role and shape it into your own vision of what exceptional compliance should look like.

About the Role

As Compliance Manager, you will be at the centre of the firm’s regulatory integrity, ensuring full adherence to FCA requirements across COBS, SYSC, SM&CR, Consumer Duty, GDPR and AML. You’ll design, implement and enhance the firm’s compliance framework, support risk management, conduct monitoring and thematic reviews, and act as t...