Job Information

A reputable firm of Independent Financial Advisers is seeking the hire of a Compliance Manager to join their Sheffield based team.

The role is to help and support the Compliance Director and be responsible for the day to day running of the Compliance function which include but not be limited to;


• Being first point of contact for Advisers
• Providing pre-approval on high risk cases
• File reviewing and providing constructive feedback
• Complaint handling
• Monitoring the T&C Scheme
• Reviewing the client suitability review process
• Deputising for the Compliance Director in their absence
• Help develop ongoing working practices



The successful candidate will be level 4 qualified through either the CII or IFS and will need to have a good broad knowledge on the products and providers available on the open market.



Having AF3 or G60 will help you achieve the higher end of the salary bracket, although full support will be provided to help you achieve these qualifications.

This is a fantastic opportunity for someone who has been a compliance officer or file reviewer for some time who is looking for the next step in their career, or equally for an existing compliance manager looking to further their career.


Richard Kunman
Senior Recruitment Consultant (Financial Services)
0113 242 9411
Cameron James Professional Recruitment
14 King Street | Leeds | LS1 2HL