Compliance Manager

Governance and Competency Manager -

Up to £55k

Location: Horsham, with some travel throughout the UK - hybrid working available after probation period

Full-time, 35 hours per week (Monday to Friday, 9am - 5pm),

Join a leading UK financial advice network as a Governance and Competency Manager. This role is crucial in providing high-quality support to ensure compliance with regulatory requirements and to achieve excellent outcomes across all business areas.

Day-to-day of the role:

• Serve as the primary point of contact for advice on policies and procedures, acting as a liaison between the financial advisers and the network.
• Oversee Registered Individuals (RIs), managing and scheduling all aspects of oversight, one-to-one meetings, and competency assessments.
• Monitor, coach, and mentor RIs both remotely and on-site to ensure compliance with network procedures and regulatory rules.
• Assist in making appropriate notifications and submissions to the FCA.
• Collaborate with internal and external stakeholders to monitor enforcement of standards and regulations.
• Proactively identify regulatory developments and evolving best practices in compliance control.
• Support in maintaining firm-specific Compliance policies and manage Conduct Risk across the firm.
• Deliver clear and comprehensive compliance assurance reports, highlighting key risks/issues and proposing mitigating actions.
• Provide governance advice and ensure financial promotions comply with regulations.

Required Skills & Qualifications:

• Minimum Level 4, RDR qualified (e.g., CII DipPFS or CISI Investment Advice Diploma).
• Additional Compliance qualifications (e.g., CISI Compliance Certificate, or ICA Compliance Certificate).
• At least five years’ experience in an IFA/Network compliance setting.
• Detailed knowledge of FCA rules and their application.
• Ability to train and motivate others, whilst remaining flexible and adaptable.
• Highly developed analytical, observational, and communication skills.

Benefits:

• Up to £55k depending on experience.
• 23 days holiday, earning an additional day per year up to 25 days. Option to purchase additional holiday.
• Extra days off during the festive period
• Involvement in high-level management decisions through participation in the Management Committee.
• Professional development and career advancement opportunities.
• Study support
• Discretionary bonus scheme
• 5% Pension contribution
• 4x Death in Service
• Eyes and eyesight testing
• Employee Health Insurance
• Employee Assistance Programme
• Free onsite parking
• Cycle to work scheme

To apply for the Governance and Competency Manager position, please submit your CV and cover letter detailing your relevant experience and why you are interested in this role