Training and Compliance Manager

About Sterling StreetSterling 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.Role OverviewThis 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.Key Responsibilities Compliance LeadershipOversee adviser activity ensuring full alignment with FCA regulations and Openwork's compliance frameworkConduct thorough file checks, audits, and risk assessments with detailed feedback and strategic action planningDevelop, update, and maintain compliance policies, embedding corrective and preventative actionsAct as primary point of contact for all compliance-related queries and escalations across the businessLiaise directly with Openwork to ensure Sterling Street's practices consistently meet and exceed network expectationsTraining and Development Design and deliver comprehensive training programmes for new and existing advisers covering compliance, product knowledge, and client service excellenceCreate and manage individual CPD plans for advisers, ensuring smooth CAS (Competent Adviser Status) progressionRun engaging workshops, webinars, and one-to-one coaching sessions focused on compliance excellence, advice quality, and operational efficiencySupport advisers in building strong, compliant, and client-focused practices that drive business growthMonitoring and ReportingTrack adviser performance against key compliance and quality benchmarks with detailed analysisPrepare clear, comprehensive reports for senior management on compliance status, training effectiveness, and emerging risk trendsMaintain audit-ready records of compliance training, risk assessments, and remedial actionsProvide strategic insights to support business development and expansion plansSkills and Qualifications RequiredStrong working knowledge of FCA regulations, Openwork policies, and mortgage/protection advice standardsProven experience in compliance, supervision, or adviser training within financial servicesExcellent communication and presentation skills with demonstrated ability to influence and coach at all levelsExceptional attention to detail combined with strong analytical and organisational capabilitiesProfessional qualifications such as CeMAP, CII, or equivalent (essential)Experience with compliance software and training management systems (desirable)Why Join Sterling Street?Growth & Impact Work within a high-growth firm with ambitious expansion plans where your expertise directly shapes business success and adviser developmentSupportive CultureJoin a close-knit, collaborative team environment where compliance and training excellence are genuinely valued and supportedCareer Development Access comprehensive professional development opportunities and clear progression pathways within our growing organisationCompetitive Package Attractive salary package plus benefits, with performance-related incentives and recognition programmesMake a Difference Opportunity to make a real impact on adviser performance, client outcomes, and company success while building the future of financial adviceIf you want your expertise to protect what matters most to families across the UK, we’d love to hear from you!

Created: 2025-08-20