Part-time Compliance Manager (Wealth Management)

Willow Resourcing Limited; Stevenage; Remote; GBP 85,000; Part time

Job summary

A leading financial services group is seeking a part-time Compliance Manager to join their team. This flexible role, working predominantly from home, allows for career development into a Head of Compliance position. The successful candidate will lead the Compliance operations, managing strategies and policies within the wealth management sector, reporting directly to the CEO.

Qualifications

• Strong Compliance experience in wealth management.
• Level 4 Diploma in Financial Planning (or similar) is preferred.
• Good understanding of FCA regulations required.

Responsibilities

• Develop and maintain a comprehensive Compliance strategy tailored to each division.
• Monitor and interpret relevant laws and regulations.
• Conduct regular risk assessments and establish controls.

Skills

Compliance experience

Knowledge of FCA regulations

Proactive mindset

Education

Level 4 Diploma in Financial Planning

Job description

Part-Time Compliance Manager (3 days per week)

Wealth Management

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

Salary: Up to £85k + benefits (FTE)

Are you looking for a flexible working opportunity that allows you to progress your career?

Or perhaps you want a stepping stone to an SMF16 role?

This is your chance.

It’s a part-time role, 3 days a week, with flexible days.

Work predominantly from home, with just 2 days a month in the Canary Wharf office, London.

This role offers career development into a Head of Compliance (SMF16) position in the future. No need to pause your career!

You will be working for a growing Financial Services group involved in wealth planning, insurance, workplace pensions, and international payments, blending personal advice with innovative technology.

Reporting to the CEO (who currently holds the SMF16) and managing one direct report, you will be the Compliance lead for daily operations. Your responsibilities include:

1. Developing and maintaining a comprehensive Compliance strategy tailored to each division.
2. Monitoring and interpreting relevant laws, regulations, and industry standards.
3. Creating, revising, and implementing Compliance policies and procedures.
4. Communicating Compliance expectations clearly.
5. Conducting regular risk assessments and establishing controls.
6. Investigating Compliance breaches and recommending remedial actions.

Ideal candidates will have strong Compliance experience in wealth management, a Level 4 Diploma in Financial Planning (or similar), and a good knowledge of FCA regulations. You should be confident in challenging the business proactively.

Interested? Click apply.

Don’t have an updated CV? Feel free to contact Mark at 0121 274 0357 for an informal chat or email him. We’ll take it from there.