Compliance and Operations Manager

TFAS Enterprises Ltd; Leeds; On-site; GBP 55,000 - 65,000; Full time

Job summary

A financial advice firm in Leeds seeks a Compliance and Operations Manager to ensure regulatory compliance and lead paraplanning and administration teams. The ideal candidate will have strong communication and analytical skills, and experience in FCA regulated environments. Offers competitive salary and benefits, including a pension scheme and opportunities for professional development.

Benefits

25 days annual leave plus Bank Holidays

Annual performance-related bonus

5% employer pension contribution

Private healthcare

Qualifications

• Experience in managing a team and delivering good outcomes.
• Understanding of paraplanning and administration within financial services.
• Experience as Compliance Officer within FCA regulated business.

Responsibilities

• Develop and implement compliance policies throughout the organisation.
• Line manage paraplanning and administration teams.
• Conduct regular audits and risk assessments.

Skills

Excellent communication and interpersonal skills

Strong analytical skills

Exceptional organisational skills

Education

Level 4 Diploma in Regulated Financial Planning

Level 6 relevant qualification

Job description

Compliance and Operations Manager

Department: Risk

Employment Type: Full Time

Location: Leeds

Reporting To: Wealth Director

Compensation: £55,000 - £65,000 / year

Description

TFAS Wealth is an established and growing, national independent financial advice firm based in Leeds city centre. We are committed to providing exceptional financial advice and services to our clients through a convenient and remote advice service, whilst ensuring compliance with regulatory standards and fostering a culture of integrity and transparency. We are seeking a highly organised and proactive Compliance & Operations Manager. This role combines regulatory oversight with operational leadership, ensuring both FCA compliance and the effective delivery of support functions across paraplanning and administration. This is a key position to maintain regulatory integrity, enhance quality assurance, and drive continuous improvement in service delivery.

Role is 37.5 hours per week Monday to Friday with standard working hours 09:00 - 17:30 and 16:00 Finish on Friday.

Key Responsibilities

• Support the development and implementation of comprehensive compliance policies and procedures throughout the organisation (e.g., T&Cs, advice framework, horizon scanning).
• Line manage the paraplanning and administration teams, ensuring alignment with regulatory expectations and internal standards.
• Monitor workload allocation and workflow efficiencies to support adviser output.
• Conduct quality reviews of paraplanning and administration outputs to ensure suitability and consistency.
• Act as the central point for resolving operational and compliance-related queries.
• Ensure SLAs and key operational metrics are consistently met.
• Maintain and improve operational processes to support business growth and adviser productivity.
• Conduct regular audits and risk assessments to identify potential areas of compliance vulnerability and risk; develop/implement corrective action plans for resolution.
• Provide advice and guidance on the interpretation of regulatory requirements and their implications for business operations.
• Keep abreast of, interpret, and communicate changes in FCA regulations to relevant departments, ensuring that all policies and procedures are updated accordingly.
• Conduct compliance training sessions for employees to ensure company-wide awareness and understanding of compliance policies and regulatory requirements.
• Manage and report on the handling of complaints in accordance with FCA guidelines, ensuring effective resolution.
• Support all communications and reporting requirements with the FCA and other regulatory bodies.
• Act as liaison and maintain effective relationships with third party compliance support services.
• Embed and support a compliance culture within the organisation and contribute to strategic planning from a regulatory perspective.

Skills, Knowledge and Expertise

Qualifications: Essential: Level 4 Diploma in Regulated Financial Planning; Desirable: Level 6 relevant qualification

Experience: Essential: Experience in managing a team and driving and delivering good outcomes; Understanding of the paraplanning and administration functions within a financial services business; Experience as a Compliance Officer or similar role within an FCA regulated financial advice business; Thorough understanding of FCA regulatory frameworks and compliance requirements; Excellent knowledge of reporting procedures and record-keeping

Desirable: Leadership training

Skills: Excellent communication and interpersonal skills, with the ability to interact effectively at all levels of the organisation; Strong analytical skills and attention to detail; Exceptional organisational skills, with the ability to manage multiple tasks and projects simultaneously

Behaviours

Our Company Behaviours are central to our culture and pivotal to our success. We value open communication, positivity, professionalism, leadership, cooperation, and a people-focused approach. Open – relate and communicate with others, adapting your style to everyone. Positive – be optimistic and encourage a positive mindset. Professional – exhibit a courteous, conscientious, and businesslike manner. Leadership – drive the company vision and positively influence those around you. Cooperative – work together and support each other to learn and grow. People Focused – deliver the best service and add value to our clients.

What We Offer You

• 25 days annual leave plus Bank Holidays increasing by 1 day each year after 3 years service (maximum of 5 additional days)
• 4pm Finish on a Friday
• Annual performance related Company bonus and salary review
• 5% Employer pension contribution
• 24 hours access to our Employee Assistance Programme with Health Assured
• Opportunities for continuous professional development
• Buying and selling annual leave scheme
• Regular social events throughout the year
• Smart/casual dress code
• Private healthcare
• Free mortgage advice
• Refer a friend scheme