Part-time Compliance Manager (Wealth Management)

JR United Kingdom; Northampton; Hybrid; GBP 30,000 - 45,000; Part time

Job summary

A leading financial services group is offering a part-time opportunity for a Compliance Manager. This role is flexible, allowing for predominantly remote work while planning to elevate your career to a Head of Compliance level. Responsibilities include developing compliance strategies and monitoring laws impacting the organization. Candidates must have compliance experience in wealth management and relevant qualifications.

Qualifications

• Strong Compliance experience in a wealth management environment.
• Excellent working knowledge of FCA regulations.
• Ability to proactively challenge the business for improvements.

Responsibilities

• Develop and maintain a comprehensive Compliance strategy.
• Conduct regular risk assessments and investigate Compliance breaches.
• Report directly to the CEO and manage a direct report.

Skills

Compliance experience

Understanding of FCA regulations

Risk assessment

Education

Level 4 Diploma in Financial Planning

Job description

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Part-time Compliance Manager (Wealth Management), northampton

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Client:

Willow Resourcing Limited

Location:

northampton, United Kingdom

Job Category:

Other

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EU work permit required:

Yes

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Job Views:

6

Posted:

16.06.2025

Expiry Date:

31.07.2025

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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

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 [emailprotected] . We’ll pick it up from there.