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Training and Compliance Manager, Watford, Hertfordshire
Client: Sterling Street
Location: Watford, Hertfordshire, United Kingdom
Job Category: Other
EU work permit required: Yes
Job Views:
2
Posted:
22.08.2025
Expiry Date:
06.10.2025
Job Description:
About Sterling Street
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.
Role Overview
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 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 Leadership
* Oversee adviser activity ensuring full alignment with FCA regulations and Openwork's compliance framework
* Conduct file checks, audits, and risk assessments with detailed feedback and strategic actions
* Develop, update, and maintain compliance policies, embedding corrective and preventative actions
* Act as primary contact for all compliance-related queries and escalations
* Liaise with Openwork to ensure Sterling Street's practices meet network expectations
Training and Development
* Design and deliver training programmes for advisers covering compliance, product knowledge, and client service
* Create and manage CPD plans for advisers, ensuring CAS progression
* Run workshops, webinars, and coaching sessions focused on compliance and advice quality
* Support advisers in building compliant, client-focused practices that drive growth
Monitoring and Reporting
* Track adviser performance against compliance and quality benchmarks
* Prepare reports for senior management on compliance status and risk trends
* Maintain audit-ready records of training and risk assessments
* Provide insights to support business development
Skills and Qualifications Required
* Strong knowledge of FCA regulations, Openwork policies, and mortgage/protection advice standards
* Experience in compliance, supervision, or adviser training within financial services
* Excellent communication and coaching skills
* Attention to detail and strong analytical skills
* Professional qualifications such as CeMAP, CII, or equivalent (essential)
* Experience with compliance software and training systems (desirable)
Why Join Sterling Street?
Growth & Impact
Work within a high-growth firm with ambitious expansion plans where your expertise shapes success and adviser development.
Supportive Culture
Join a collaborative team where compliance and training are valued. Access professional development and progression opportunities.
Competitive Package
Attractive salary plus benefits, incentives, and recognition programs.
Make a Difference
Impact adviser performance, client outcomes, and company success while building the future of financial advice.
If you want your expertise to protect what matters most to families across the UK, we’d love to hear from you!
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