Training and Compliance Manager

About Us

Sterling Street is one of the UK's fastest-growing mortgage and protection advisory firms, delivering exceptional standards of advice and client service. As "Firm of the Year" of the prestigious Openwork Network, we provide our advisers with comprehensive support, professional development, and full FCA compliance frameworks to ensure sustained success. We are seeking a proactive and detail-driven Training & Compliance Manager to join our senior team and play a pivotal role in shaping adviser excellence, maintaining robust compliance standards, and supporting our ambitious growth plans.

Job Description

This strategic role combines compliance leadership with adviser training and development. You will design and deliver structured training programmes, oversee comprehensive compliance frameworks, and ensure our advisers consistently meet and exceed professional standards. Reporting directly to the Senior Management Team, you'll serve as both compliance guardian and performance coach, developing high-performing advisers who deliver outstanding client outcomes.

Responsibilities

• Oversee adviser activity ensuring full alignment with FCA regulations and Openwork's compliance framework
• Conduct thorough file checks, audits, and risk assessments with detailed feedback and strategic action planning
• Develop, update, and maintain compliance policies, embedding corrective and preventative actions
• Act as primary point of contact for all compliance-related queries and escalations across the business
• Liaise directly with Openwork to ensure Sterling Street's practices consistently meet and exceed network expectations
• Design and deliver comprehensive training programmes for new and existing advisers covering compliance, product knowledge, and client service excellence
• Create and manage individual CPD plans for advisers, ensuring smooth CAS (Competent Adviser Status) progression
• Run engaging workshops, webinars, and one-to-one coaching sessions focused on compliance excellence, advice quality, and operational efficiency
• Support advisers in building strong, compliant, and client-focused practices that drive business growth
• Track adviser performance against key compliance and quality benchmarks with detailed analysis
• Prepare clear, comprehensive reports for senior management on compliance status, training effectiveness, and emerging risk trends
• Maintain audit-ready records of compliance training, risk assessments, and remedial actions
• Provide strategic insights to support business development and expansion plans

Requirements

• Strong working knowledge of FCA regulations, Openwork policies, and mortgage/protection advice standards
• Proven experience in compliance, supervision, or adviser training within financial services
• Excellent communication and presentation skills with demonstrated ability to influence and coach at all levels
• Exceptional attention to detail combined with strong analytical and organisational capabilities
• Professional qualifications such as CeMAP, CII, or equivalent (essential)
• Experience with compliance software and training management systems (desirable)

Benefits

• Growth & Impact
• Work within a high-growth firm with ambitious expansion plans where your expertise directly shapes business success and adviser development
• Supportive Culture
• Join a close-knit, collaborative team environment where compliance and training excellence are genuinely valued and supported
• Career Development
• Access comprehensive professional development opportunities and clear progression pathways within our growing organisation
• Competitive Package
• Attractive salary package plus benefits, with performance-related incentives and recognition programmes
• Make a Difference
• Opportunity to make a real impact on adviser performance, client outcomes, and company success while building the future of financial advice

Apply here

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