Welcome to North Oak Recruitment, dedicated to delivering what we promise - a quality recruitment service. Whether you are a financial services company looking to recruit staff, or whether you are an individual looking for your next career move within financial services, you can rest assured that you will be in the safe hands of an expert, trained and experienced in managing all of your recruitment needs and putting your interests first.  Call us now for Financial Services vacancies.
Compliance Manager
Salary Area Job Ref Consultant Sector
to c£45,000 Nottinghamshire AL820 Angela Liscombe Compliance


Compliance Manager (Wealth Management / IFA environment)

Nottingham (Our Ref AL820)

Salary to c£45,000 pa


Our Client is well established and award winning Nottingham based firm of Independent Financial Advisers. They now have an exciting vacancy for an experienced Compliance Manager to join their team.  The successful candidate will be motivated and proactive and will have held a similar role within the wealth management sector.


Day to day, the role will involve the following responsibilities:

  • Monitor and interpret regulatory and data protection changes
  • Maintain policy statements and incorporate regulatory change where appropriate
  • Maintain positive relations with the FCA
  • Deliver regular staff updates and training
  • Complete Gabriel returns
  • Monthly reporting to the board
  • Manage, maintain and give effect to the Compliance Monitoring Programme
  • Continually monitor and improve service and compliance procedures
  • Identify training programme for Consultants to maintain areas of authorisation
  • Ensure CPD, SPS, T&C scheme delivered
  • Maintain and report on KPI’s
  • Observe client meetings

The Person:


·         Previous experience working as a Compliance Manager within an IFA environment.

·         Ideally you will be Level 4 / Diploma Qualified, although this is not essential.


If this role is of interest and you have the required background, then please apply in confidence with an up to date CV or call Angela Liscombe at North Oak Recruitment for a further discussion.



 North Oak Recruitment have worked very hard to find me a position.  Angela has been friendly and professional, she listened to what I was looking for and I would recommend her to anyone looking for a new job. 
Sharon M.
 Angela is second to non in her knowledge of the financial services industry across the Midlands.  Having been made redundant I was feeling unsure about my future but Angela was very reassuring and quickly got to work for me.  Within 3 weeks, I had the perfect role and I can't recommend Angela highly enough - Thank You!
Kate M.