Compliance Manager - Independent Financial Advice Firm

Location: Barnsley, South YorkshireSalary: 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.