Compliance and Operations Manager

ZipRecruiter; Leeds; On-site; GBP 65,000 - 75,000; Full time

Job summary

A leading financial services firm seeks an experienced Compliance and Operations Manager in Leeds. This key role combines regulatory oversight with operational leadership to ensure compliance with FCA regulations and enhance service delivery. Candidates should have a minimum Level 4 Diploma in Financial Planning and relevant experience in an IFA environment.

Qualifications

• Experience in compliance within an IFA firm.
• Knowledge of paraplanning and administration teams.

Responsibilities

• Develop and implement compliance policies and procedures.
• Line manage paraplanning and administration teams.
• Conduct audits and compliance training sessions.

Skills

Regulatory oversight

Operational leadership

Quality assurance

Education

Minimum Level 4 Diploma in Financial Planning

Job description

Job Description

- Compliance and Operations Manager

- Leeds

- c.£65,000 + Benefits

Our client is a IFA firm who are looking for an experienced Compliance and Operations Manager to join the business. This is an important role that 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 & 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.
• 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.

Do you have the following to apply?

• Minimum Level 4 Diploma in Financial Planning (or equivalent)
• Previous Compliance experience in an IFA firm.
• Knowledge of both Paraplanning and Administration teams within an IFA firm.

Due to the high volume of applications received we are unable to respond to everyone directly. If you are not contacted within 7 working days, you have unfortunately not been shortlisted.

Clayton Davies is acting as an employment agency on behalf of our client.