Compliance and Operations Manager

TFAS Wealth Limited; Leeds; On-site; GBP 55,000 - 65,000; Full time

Job summary

TFAS Wealth, a leading financial advice firm in Leeds, seeks a Compliance & Operations Manager. This pivotal role involves regulatory oversight, managing paraplanning and administration teams, and ensuring compliance with FCA standards. The position offers a competitive salary and benefits, including professional development opportunities and a positive work environment focused on client service.

Benefits

25 days annual leave plus Bank Holidays

Annual performance related Company bonus

5% Employer pension contribution

24 hours access to Employee Assistance Programme

Opportunities for continuous professional development

Private healthcare

Refer a friend scheme

Qualifications

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

Responsibilities

• Support development of compliance policies and procedures.
• Line manage paraplanning and administration teams.
• Conduct quality reviews of outputs to ensure compliance.

Skills

Communication

Analytical skills

Organisational skills

Education

Level 4 Diploma in Regulated Financial Planning

Level 6 relevant qualification

Job description

Department: Risk

Location: Leeds

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 pivotal 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.

• 37.5 hours per week Monday to Friday - standard working hours 09:00 - 17:30 (16:00 Friday Finish).
  
  

Key Responsibilities

• Support the development and implementation of comprehensive compliance policies and procedures throughout the organisation such as T&C, advice framework, horizon scanning, etc.
• 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're not just looking for employees; we're looking for individuals who embody our values and want to contribute to our shared mission.

Open – Relate and communicate with others, adapting your style to everyone.
Positive – Being optimistic and encouraging a positive mindset.
Professional – Exhibiting a courteous, conscientious, and business like 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 – Delivering the best service and adding 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