Job Description
Compliance Manager – Independent Financial Advice Firm
Location: Barnsley, South Yorkshire
Salary: Up to £60,000 (DOE)
Sector: Financial Planning / Wealth Management
Are you an experienced Compliance Manager looking to step into a key leadership role within a growing Independent Financial Advice (IFA) firm? NJR Recruitment is proud to be partnering with a highly regarded financial planning business in Barnsley, who are now looking to appoint a knowledgeable and confident Compliance Manager to oversee their internal risk, regulatory, and file-checking functions.
This is a fantastic opportunity to join a firm with a strong client-first culture, offering autonomy, influence, and the opportunity to help shape future compliance strategy.
Role Overview:
As Compliance Manager, you’ll work closely with senior management, advisers, and support staff to ensure the firm meets its FCA regulatory obligations and delivers high-quality, compliant advice.
Key Responsibilities Include:
- Overseeing the firm’s Compliance Monitoring Programme (CMP)
- Conducting file reviews, giving constructive feedback to advisers and paraplanners
- Keeping up to date with FCA regulations, Consumer Duty, and industry developments
- Managing complaints, breaches, and incidents in line with regulatory procedures
- Leading compliance training sessions and supporting the T&C scheme
- Preparing documentation for audits and FCA reporting
- Acting as the first point of contact for all internal compliance queries
Candidate Profile:
- Previous experience in a compliance role within an IFA or wealth management firm
- Solid knowledge of FCA rules, MiFID II, Consumer Duty, and financial planning regulations
- Proven ability to conduct file checks and provide risk-based feedback
- Excellent communication and interpersonal skills
- Organised, analytical, and confident working independently
- Level 4 Diploma in Regulated Financial Planning is essential, although Level 6 (or working towards) is preferred
What’s On Offer:
- Up to £60,000 basic salary, depending on experience
- Flexible working options and a supportive culture
- Opportunity to lead and influence the compliance function
- Join a successful, forward-thinking financial planning firm with long-term ambitions
Interested?
If you’re ready to bring your compliance expertise to a respected IFA firm and play a key role in shaping best practice, we’d love to hear from you.
Apply now or contact NJR Recruitment quoting NJR15710 for a confidential discussion.
About NJR Recruitment