Compliance Manager

ZipRecruiter; England; Hybrid; GBP 60,000 - 80,000; Full time

Job summary

A well-established financial advice firm in the UK is seeking a Compliance Manager to oversee and lead the compliance function. The ideal candidate will ensure adherence to FCA regulations and conduct suitability checks on client advice. Proven experience in compliance within a financial planning environment is essential. This role offers a competitive salary and a hybrid working arrangement.

Qualifications

• Proven experience in a compliance role within an IFA or financial planning firm.

Responsibilities

• Oversee the firm’s compliance framework and ensure adherence to FCA rules.
• Conduct file reviews and monitor regulatory changes.
• Develop and update internal policies and procedures.

Skills

Compliance knowledge

Excellent communication

Attention to detail

Education

Level 4 Diploma in Financial Planning

Job description

Job Description

️ Compliance Manager

Hybrid Based (flexible working arrangement)

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.