Compliance Manager – Northampton

The Compliance Manager role in Northampton involves supporting and improving the compliance framework of a Chartered Wealth management firm, ensuring adherence to FCA regulations, industry standards, and internal policies. The position offers a clear career progression towards becoming the firm's SMF16 Compliance Oversight Function holder, subject to regulatory approval. Key responsibilities include regulatory compliance, monitoring of advisers, upholding Consumer Duty, delivering training, and regulatory reporting. The ideal candidate has experience in a financial services compliance or risk role, with strong knowledge of FCA regulations and wealth management, complemented by analytical and communication skills, and a relevant qualification. Desirable qualities include additional compliance certifications, FCA experience, and exposure to compliance monitoring. The candidate should demonstrate high ethical standards, proactive attitude, leadership potential, and commitment to professional growth.