Part-time Compliance Manager (Wealth Management)

Willow Resourcing Limited; Cheltenham; Hybrid; GBP 60,000 - 85,000; Part time

Job summary

A leading financial services group is looking for a Part-Time Compliance Manager who will oversee compliance strategy and management for the wealth management division. This role offers primarily remote work with minimal office presence and a pathway to develop into a Head of Compliance (SMF16) position. Candidates should have strong compliance experience and knowledge of FCA regulations.

Qualifications

• Experience in compliance within a wealth management environment.
• Strong knowledge of regulatory laws and industry standards.
• Ability to communicate compliance expectations effectively.

Responsibilities

• Manage compliance strategy and policies for the business.
• Conduct regular risk assessments and investigate breaches.
• Report to the CEO and manage one direct report.

Skills

FCA regulations knowledge

Compliance management

Risk assessment

Proactive challenge

Education

Level 4 Diploma in Financial Planning

Job description

Part-Time Compliance Manager (3 days per week)

Wealth Management

Location: Predominantly Remote but with 2 days per month in the London office

Salary: To £85k + benefits (FTE)

Looking for a flexible working opportunity that does not mean putting your career on hold?

Or simply looking for a stepping stone to an SMF16 role?

This is an opportunity to do exactly that.

It’s part-time, 3 days a week. Which days you work is up to you.

You’ll also be able to work predominantly from home, with just 2 days a month spent in the office (Canary Wharf, London).

From a career development perspective, this role will evolve into a Head of Compliance (SMF16) post in due course. As I said, there’s no need to put your career on hold!

You’ll be working for a growing Financial Services group operating across wealth planning, insurance, workplace pensions and international payments that combines personal, human advice with the use of innovative technology.

Managing 1 direct report and reporting into the CEO (who currently holds the SMF16), you’ll be the Compliance lead for all day-to-day business matters. You’ll develop and maintain a comprehensive Compliance strategy tailored to each division within the Group, monitoring and interpreting relevant laws, regulations and industry standards accordingly.

You’ll create, revise and implement Compliance policies and procedures and communicate Compliance expectations clearly to all stakeholders.

In addition, you’ll conduct regular risk assessments and establish effective controls and investigate any Compliance breaches, recommending appropriate remedial actions.

You’ll have gained strong Compliance experience in a wealth management environment and will ideally hold a Level 4 Diploma in Financial Planning (or similar).

You’ll have an excellent working knowledge of FCA regulations impacting the wealth management arena and will be confident operating as ‘critical friend’, with the ability to proactively challenge the business to identify areas for improvement.

Interested?

Click apply.

Not got an up to date CV?

Don’t worry, you can always give me (Mark) a call on 0121 274 0357 for an informal chat or email me at We’ll pick it up from there.