Compliance Manager

Clayton Davies Ltd; Sheffield; On-site; GBP 35,000 - 55,000; Full time

Job summary

An established industry player is seeking a proactive Compliance Manager to uphold regulatory standards and support growth. In this vital role, you will oversee compliance functions, ensuring adherence to FCA regulations while fostering a culture of compliance within the firm. Your expertise will be crucial in maintaining robust compliance frameworks, conducting audits, and preparing regulatory returns. Join a dedicated team focused on delivering excellence in financial planning services, where your contributions will help shape the future of the firm. If you have a keen eye for detail and a passion for compliance, this opportunity is perfect for you.

Qualifications

• Experience in a compliance role within an IFA or financial planning environment.
• Ability to interpret and implement regulatory requirements effectively.

Responsibilities

• Act as the primary point of contact for all compliance matters.
• Maintain and develop the firm’s Compliance Monitoring Programme.
• Conduct regular file checks and audits for compliance.

Skills

Compliance Management

Regulatory Adherence

Attention to Detail

Education

Level 4 Diploma in Financial Planning

Job description

Job Description

Our client is a small, well-established IFA firm dedicated to providing bespoke financial planning services to a loyal client base. With a reputation for professionalism, integrity, and personal service, they are seeking a proactive Compliance Manager to ensure they continue to meet regulatory standards and deliver excellence to their clients.

As Compliance Manager, you will play a vital role in supporting the firm's growth while maintaining robust compliance frameworks. Reporting directly to the Directors, you will be responsible for overseeing all compliance functions, ensuring regulatory adherence (primarily FCA regulations), and helping to embed a culture of compliance across the business.

Role & Responsibilities:

• Act as the primary point of contact for all compliance matters within the firm.
• Maintain and develop the firm’s Compliance Monitoring Programme.
• Conduct regular file checks and audits to ensure advice given is suitable and compliant.
• Oversee the firm's policies and procedures, ensuring they remain current and fit for purpose.
• Prepare and submit regulatory returns to the FCA.
• Keep the team informed of relevant regulatory updates and deliver internal training where needed.
• Support with client complaints handling and liaison with the Financial Ombudsman Service, if required.
• Work closely with advisers and support staff to promote best practices and mitigate compliance risks.
• Assist with the implementation of Consumer Duty obligations and other evolving FCA initiatives.

Do you have the following to apply?

• Previous experience in a compliance role within an IFA or financial planning environment is essential.
• Level 4 Diploma in Financial Planning (minimum)
• Attention to detail and ability to interpret and implement regulatory requirements effectively.

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.