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We require an experienced Compliance Monitoring Manager to assist with our ever-growing compliance requirements. The ideal candidate will have a good background and knowledge of compliance within a financial services environment, and who can demonstrate a keen eye for detail. 

As part of the role you will be expected to carry out file reviews, understand the complex requirements of a busy compliance department and be able to communicate effectively to a large team of paraplanners and advisers.

This role requires someone who has attained Diploma Level 4 (or similar) and ideally holds the AF3 (or equivalent) qualification. 

At Equilibrium we offer plenty of autonomy in an entrepreneurial environment. With this in mind this role could be a great alternative to anyone impacted by IR35.

The ideal candidate will be involved in some or all of the following areas dependent on experience;

  • Effectively deliver feedback and guidance to advisers and paraplanners
  • Overseeing Financial Promotions and marketing literature
  • Assist in compiling data for KPI monitoring purposes across departments
  • Liaising with highly technical individuals offering support where needed
  • Investigating complaints
  • Conducting file reviews to ensure suitability of advice and adherence to anti-money laundering procedures
  • Working with all areas of the business to embed the culture of good compliance, risk practice and TCF 
  • When required, challenging existing policies and procedures for Compliance Best Practice
  • Reporting progress to the Head of Compliance  and raising issues as appropriate and seeing those issues through to resolution
  • Performing other tasks as considered appropriate to the proper execution of the responsibilities of the role 
  • Assisting in the development/update of policies, procedures and regulatory documentation
  • Assisting in the preparation of monthly MI and annual reports to the regulators
  • Maintaining knowledge of regulatory standards taking into account changes in regulation and legislation

Experience required

  • Diploma in Regulated Financial Planning level 4 or related qualification
  • Strong product technical skills and the ability to apply these
  • Proficient knowledge and experience of regulatory compliance
  • Detailed understanding of regulatory rules and standards.
  • Proven track record of meeting multiple objectives with evidence of a commitment to the attainment of good practice
  • Demonstrable skills around attention to detail and accuracy
  • Ability to recognise and score compliance risk, adjusting the intensity of compliance monitoring as appropriate

Being a member of the Equilibrium team you will have no problems:

  • Getting things done
  • Being authentic and real, we don’t want any phoneys
  • Displaying massive amounts of enthusiasm, energy, positivity, motivation and passion without exhausting those around you! 
  • Passionate about learning and growth
  • Motivated to do a great job
  • Able to change tack without it sending you into a tail spin
  • Comfortable with change and a fast paced environment
  • Displaying huge amounts of integrity, a fantastic work ethic and generally being a great person to have around!
  • Being a  self-starter who embraces responsibility and can manage own time
  • Excellent oral and written communication skills and personal presentation skills
  • Demonstrate resilience and flexibility in a demanding and fast paced environment

About Us 

Finding the right people is at the heart of our success. Our hard-working, friendly team have fostered a healthy working environment that aims to bring out the best in everyone that works here. 

We are very proud of our team and their commitment to excellence. We reward all team members with some of the most competitive salaries in the market place, challenging and exciting roles, fantastic benefits and a great place to work.  

We have a friendly and relaxed recruitment process that sets us apart from other companies from the very start! 

If you want to enjoy the time you spend at work and believe you have the relevant qualifications, a commitment and willingness to work for an award winning, forward thinking business, then why not check us out on FacebookTwitter or Instagram to see what the team get up to!

The package

Competitive basic salary, contributory pension, bonus, 33 days holiday plus bank holidays (going up to 38 with length of service) plus loads of other great benefits.

Find out more about what you get here


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Equilibrium Financial Planning LLP (OC316532) and Equilibrium Investment Management LLP (OC390700) are authorised and regulated by the Financial Conduct Authority and are entered on the financial services register under references 452261 and 776977respectively. Registered Offices: Ascot House, Epsom Avenue, Handforth, Wilmslow, SK9 3DF. Both companies are registered in England and Wales.


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