Compliance manager

Eden Scott; United Kingdom; Hybrid; GBP 40,000 - 55,000; Full time

Job summary

A growing financial advice firm in the United Kingdom is seeking an experienced Compliance professional to ensure high standards of regulatory adherence and operational integrity. This role involves collaborating with senior leadership, overseeing advice and sales procedures, conducting audits, and providing compliance updates. Candidates should have at least two years of experience in a financial planning or IFA environment and a strong knowledge of FCA regulations. The position offers an attractive salary, benefits, and a hybrid work model.

Benefits

Attractive salary

Benefits package

Hybrid working

Qualifications

• Minimum two years' experience in a financial planning or IFA environment.
• Strong knowledge of FCA regulations and compliance principles.
• Experience in internal audits and regulatory reporting.
• Excellent organisational and communication skills.
• Professional compliance qualifications are desirable but not essential.

Responsibilities

• Ensure compliant advice and sales processes are in place and followed.
• Identify and mitigate risks to the firm and its clients.
• Maintain SM&CR documentation and competency records.
• Review client files and monitor training and competence frameworks.
• Provide compliance updates and prepare quarterly MI reports for the board.
• Support junior financial planners in achieving competency.

Job description

Job Description

A growing financial advice firm is looking for an experienced Compliance professional to help maintain high standards of regulatory adherence and operational integrity. This is a key role within their team for someone who thrives on detail, understands compliance risks and wants to make a real impact in a dynamic, warm and professional environment in central Edinburgh. Full or part time working can be considered.

The role holder will work closely with senior leadership and external compliance resources to ensure all activities align with FCA regulations. Responsibilities include overseeing advice and sales procedures with their IFAs, training and competency supervision, monitoring regulatory requirements, conducting audits, and promoting a culture of best practice with the financial planners across the business. The role also involves preparing compliance reports for the board and keeping processes up to date.

Key Responsibilities

• Ensure compliant advice and sales processes are in place and followed.


• Identify and mitigate risks to the firm and its clients.


• Maintain SM&CR documentation and competency records.


• Review client files and monitor training and competence frameworks.


• Provide compliance updates and prepare quarterly MI reports for the board.


• Support junior financial planners in achieving competency.

Experience required

• Minimum two years' experience in a financial planning or IFA environment.


• Strong knowledge of FCA regulations and compliance principles.


• Experience in internal audits and regulatory reporting.


• Excellent organisational and communication skills.


• Professional compliance qualifications are desirable but not essential.

In return they are offering an attractive salary, benefits package, hybrid working and the opportunity to join them during a growing time in their history and see the impact your daily duties make. Please get in touch for more information and a discussion about the role before progressing in the strictest of confidence with Alison Curran.