Compliance and Supervision Manager

St. James’s Place

  • Cirencester, Gloucestershire
  • Contract
  • Full-time
  • 27 days ago
Are you ready to chart your own career path? With our refreshed strategy, we're building on our rich heritage and transforming our business to be more scalable and efficient, unlocking the capabilities needed for future success. This includes significantly investing in technology, streamlining the way we work and creating an environment where colleagues feel engaged, empowered and accountable; where they can show up, speak up and perform - because we believe in the difference our work makes.At a glance:Workplace Type: RemoteEmployment Type: 12 month Fixed-Term ContractSeniority: Mid-Senior LevelAbout the RoleWe're looking for a skilled and confident Compliance and Supervision Manager to lead the design, implementation and oversight of a robust training, competence, and compliance program across the Perennial Group and associated businesses. Acting as a senior compliance lead, you will play a pivotal role in embedding systems, policies and controls that support strong regulatory standards and consistently positive client outcomes. This is a highly visible role where your expertise will directly influence our compliance culture, risk mitigation, and operational efficiency.What You'll Be Doing
  • Lead the development and maintenance of the Training & Competence (T&C) Scheme and compliance oversight framework.
  • Monitor and manage annual competency and Fitness & Propriety requirements under SM&CR.
  • Ensure timely updates to FCA registers and manage onboarding of approved/certified individuals.
  • Carry out risk assessments, oversee compliance assurance visits and perform trend analysis.
  • Drive delivery of training needs analysis and implement related training programs.
  • Lead Partner Acquisition Due Diligence exercises and regulatory assessments for new firms.
  • Prepare and deliver meaningful Management Information (MI) and board-level risk dashboards.
  • Advise senior leaders on legal and regulatory changes and oversee timely implementation.
  • Ensure policies reflect regulatory expectations and are stress-tested for operational effectiveness.
  • Act as a lead liaison for regulatory engagement and reporting, including FCA submissions.
  • Champion cultural and ethical standards, promoting diversity, inclusion, and client fairness across the Group.
  • Line manage and support compliance teams across Perennial and its associated firms.
Who We're Looking ForWe're looking for a strategic and proactive compliance professional with strong leadership skills and experience in regulatory oversight, ideally within the financial advice or wealth management sectors. You'll have a natural ability to build relationships with internal and external stakeholders and the confidence to provide senior-level advice and guidance. A strong grasp of SM&CR, T&C schemes, and client-centric outcomes is essential to your success in this role.Essential Skills & Experience
  • Proven experience in a compliance leadership role within financial services.
  • Proven experience managing SM&CR requirements and T&C frameworks.
  • Ability to influence, lead teams, and deliver effective regulatory change.
  • Excellent written and verbal communication skills with strong MI and report presentation capabilities.
Desirable Skills
  • Diploma in Financial Planning (or working towards it).
  • In-depth knowledge of compliance in Partner/AR supervision environments.
Special Requirements:Please be aware that this position is a Certification role under the Senior Managers and Certification Regime.What's in it for you?We reward you for the work you do, whether that's through our discretionary annual bonus scheme that reflects both personal and company performance, competitive annual leave allowance (28 days plus bank holidays, with the option to purchase an additional 5 days), or online rewards platform with a variety of discounts.
We also have benefits to support whatever stage of life you are in, including:
  • Competitive parental leave (26 weeks full pay)
  • Private medical insurance (optional taxable benefit)
  • 10% non-contributory pension (increasing with length of service)
Reasonable Adjustments
We're an equal opportunities employer and want to ensure our recruitment process is accessible and inclusive for all, if you require reasonable adjustment(s) at any stage please let us know by emailing us at careers@sjp.co.uk
Research tells us that applicants (especially those from underrepresented groups) can be put off from applying for a role if they do not meet all the criteria or have been on an extended career-break. If you think you would be a good match for this role and can demonstrate some transferable experience please apply, regardless of whether you tick every box.What's next?If you're excited about this role and believe you have the skills and experience we're looking for, we'd love to hear from you! Please submit an application by clicking 'apply' below and our team will be in touch.
As a business regulated by the FCA we would advise you to familiarise yourself with the conduct regulations and in particular consumer duty obligations prior to an interview with SJP.

St. James’s Place