Compliance Manager

Clayton Davies; Birmingham; On-site; GBP 40,000 - 60,000; Full time

Job summary

A well-established Independent Financial Adviser firm seeks a Compliance Manager in Birmingham. This role focuses on ensuring compliance with FCA regulations, managing internal policies, and providing training to staff. Applicants should have a strong compliance background and a Level 4 Diploma in Financial Planning.

Qualifications

• Proven experience in a compliance role within an IFA or financial planning firm.
• Minimum Level 4 Diploma in Financial Planning (or equivalent).

Responsibilities

• Oversee the compliance framework and ensure adherence to FCA rules.
• Conduct file reviews and suitability checks on client advice.
• Provide training and guidance to advisers and staff.

Skills

Compliance knowledge

Attention to detail

Communication

Education

Level 4 Diploma in Financial Planning

Job description

This range is provided by Clayton Davies. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.

Base pay range

Direct message the job poster from Clayton Davies

Director at Clayton Davies - 07515031496 / [e-mail]

Competitive salary depending on experience

Our client is a well-established and client-focused Independent Financial Adviser (IFA) firm, dedicated to providing tailored financial advice with integrity, transparency, and professionalism.

They are looking for a Compliance Manager to lead and manage the Compliance function.

As Compliance Manager, you will be responsible for ensuring the firm’s advice, policies, and practices comply with FCA regulations and industry best practice. Working closely with senior management, you will play a vital role in safeguarding their clients and supporting the firm’s continued success.

Role & Responsibilities:

• Oversee the firm’s compliance framework and ensure adherence to FCA rules and regulations.
• Conduct file reviews and suitability checks on client advice.
• Monitor and implement regulatory changes, communicating requirements across the business.
• Develop and update internal policies and procedures.
• Maintain accurate and up-to-date compliance records and registers.
• Provide training and guidance to advisers and staff.
• Liaise with external compliance consultants and the FCA as needed.
• Assist in handling complaints and reporting breaches and regulatory issues.
• Support the firm with ongoing SM&CR and Consumer Duty obligations.

Do you have the following to apply?

• Proven experience in a compliance role within an IFA or financial planning firm.
• Minimum Level 4 Diploma in Financial Planning (or equivalent).

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.

Seniority level

• Seniority level

  Mid-Senior level

Employment type

• Employment type

  Full-time

Job function

• Job function

  Other

• Industries

  Financial Services and Investment Management

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