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A fantastic opportunity has arisen for an experienced Compliance Manager to join a growing commercial finance company based in Wakefield. This business has built a strong reputation for providing tailored funding solutions to SMEs and mid-market clients across the UK, and as they continue to expand, they’re looking to strengthen their governance and compliance function. The Role; As Compliance Manager, you will take ownership of the company's compliance framework, ensuring all processes, systems, and practices meet regulatory and internal standards. This is a hands-on role where you’ll be responsible for overseeing day-to-day compliance activities while also supporting strategic projects that drive continuous improvement and operational excellence. Your work will play a key role in maintaining the firm’s integrity, reputation, and adherence to FCA guidelines and internal governance policies. Key Responsibilities; • Manage and develop the company’s compliance monitoring framework to ensure all activities are conducted in line with FCA and company regulations., • Conduct regular compliance checks, audits, and risk assessments across all business areas., • Produce accurate and insightful compliance reports for senior management and external stakeholders., • Oversee and maintain all policy documentation, ensuring procedures remain current and reflective of best practice., • Provide training and guidance to colleagues to promote a strong compliance culture across the organisation., • Lead on regulatory submissions and reviews, ensuring timely and accurate responses., • Monitor and interpret regulatory developments, advising senior leadership on any necessary changes or risks., • Collaborate closely with operational and sales teams to identify, assess, and mitigate compliance risks. About You; • 3–5 years’ experience in a compliance role within financial services or commercial lending., • Strong understanding of FCA regulations, AML, data protection, and governance frameworks., • Excellent analytical and reporting skills – able to turn complex data into actionable insight., • Confident communicator with the ability to deliver training and influence at all levels., • Proactive, detail-oriented, and highly organised, with a strong sense of accountability. What’s on Offer; • Competitive salary, dependent on experience, • Opportunity to shape and develop the compliance function within a growing business, • Collaborative, professional environment with genuine progression opportunities, • Wakefield-based with flexible/hybrid working If this is you then please apply to this job advert or get in touch!

⭐️ Compliance Officer 📍 Hybrid Based 💰 Competitive Salary depending on experience Our client is a leading wealth management firm dedicated to helping individuals, families, and businesses achieve their long-term financial goals. They pride themselves on their integrity, client-focused approach, and commitment to the highest professional and regulatory standards. As they continue to grow, they are seeking a talented Compliance Officer to join their team and support the ongoing development of their robust compliance framework. Role & Responsibilities: 📋 • Monitor and assess compliance with FCA rules, internal policies, and industry standards., • Maintain and develop the firm’s compliance policies, procedures, and risk management framework., • Investigate complaints and issue Final Response Letters to clients., • Conduct regular compliance reviews and audits, reporting findings and recommending improvements., • Provide guidance and training to staff on regulatory requirements and best practices., • Provide support to the T&C Manager as/when required., • Support the Compliance Manager with thematic reviews and regulatory change initiatives. Do you have the following to apply? ✅ • Proven experience in a Compliance role within a wealth management/IFA firm, • Hold the Level 4 Diploma in Financial Planning (or equivalent). Due to the high volume of applications received we are unable to respond to everyone directly. If you are not contacted within 7 working days, you have unfortunately not been shortlisted. Clayton Davies is acting as an employment agency on behalf of our client.

⭐️ Head of Advice 📍 Hybrid Based 💰 Competitive Salary Our client is a leading wealth management firm dedicated to helping individuals, families, and businesses achieve their long-term financial goals. As they continue to grow, they’re looking for an exceptional Head of Advice to lead their advisory function and drive the highest standards of client service, compliance, and professional development across their adviser network. The Head of Advice will be responsible for the strategic leadership, development, and governance of their financial advice proposition. You will ensure that all advice delivered across the firm is compliant, client-centric, and aligned with their business objectives. Role & Responsibilities: 📋 • Oversee the quality, suitability, and consistency of financial advice across the business., • Develop and implement the firm’s advice framework and best practice standards., • Act as the primary liaison with compliance and risk teams to ensure FCA and internal regulatory requirements are met., • Support recruitment, training, and mentoring of advisers to maintain a high-performing culture., • Collaborate with the Chief Investment Officer, Compliance Director, and Operations teams to align advice, investment, and operational strategies., • Represent the advice function at senior management and board level., • Drive innovation in advice delivery through digital tools, client experience enhancements, and process improvement. Do you have the following to apply? ✅ • Hold the Level 4 Diploma in Financial Planning as a minimum (or equivalent)., • Proven leadership experience within an advisory role., • Experience developing advice propositions in a growing or digitally enabled firm would be beneficial. Due to the high volume of applications received we are unable to respond to everyone directly. If you are not contacted within 7 working days, you have unfortunately not been shortlisted. Clayton Davies is acting as an employment agency on behalf of our client.