logo for James Phillip Financial Recruitment

Compliance Manager - Eaglescliffe, County Durham, United Kingdom, TS16

£40-46k

Are you looking to join a forward-thinking Wealth Management company who offer an unparalleled service to the market? If so, our client is now looking to bring on board a Compliance Manager to their well-established team in the Stockton-on-Tees area.

Our client offers whole of the market advise to clients across the North East, with year on year growth.

As a compliance manager you will:

  • Develop the compliance policies and procedures
  • Arranging, carrying out and checking the training and competence for compliance with the relevant regulatory requirements in relation to registered individuals
  • Liaising with compliance consultants when applicable
  • File checks
  • Work with new advisers to ensure competent
  • Assist Operations Manager with recruitment of advisers
  • Provide necessary training for staff
  • Undertake supervisor role for all advisers
  • Preparing compliance reports for board
  • Maintenance of compliance registers and documents
  • Assisting with the completion of regulatory returns


The successful candidate will ideally have an existing background as a Compliance Manager, along with being Diploma qualified in Financial Planning.