Compliance Manager - IFA firm

ZipRecruiter; Birmingham; Hybrid; GBP 40,000 - 65,000; Full time

Job summary

An established independent financial advice firm in the West Midlands is seeking a Compliance Manager/Head to enhance its compliance function. This role offers autonomy with full support from the leadership team and is ideal for those looking to advance their careers in compliance. With excellent mentorship and training opportunities, candidates with a background in financial advising, particularly in pensions and investment planning, will thrive. The firm values a people-focused approach, making it a great place to grow and develop professionally.

Qualifications

• Experience in a Financial Adviser office involved with pensions and investment planning.
• Technical skills as a Paraplanner or File Review Specialist are advantageous.

Responsibilities

• Support day-to-day compliance function and FCA liaison.
• Responsible for quality assurance and file review team management.

Skills

Compliance Management

Financial Advising

Quality Assurance

File Review

Pensions and Investment Planning

Education

Diploma Level 4

Job description

Job Description

An excellent opportunity with a West Midlands independent financial advice firm looking to recruit a Compliance Manager / Head.

This role will support the day-to-day compliance function, FCA liaison, line of sight to T&C operations, and is responsible for quality assurance and the file review team. This position will not require SMF16/17 functions and will benefit from the support of a third-party compliance service provider.

My client has an excellent reputation as a long-standing IFA business providing client-centric financial planning services and is committed to being a people-focused organisation.

Highlights include:

• Be an integral part of a well-established directly authorised Financial Services firm
• Enjoy day-to-day autonomy with full support from the leadership team
• Open to an experienced or aspiring compliance manager seeking a development pathway to Head of Compliance
• Receive excellent one-to-one mentorship and training from the leadership team
• Package based on experience and development needs, with a suggested salary guide of £40-65k
• Hybrid working

Candidate requirements:

This opportunity is ideally suited to a candidate from a similar background or individuals with technical skills gained as a Paraplanner or File Review Specialist keen to progress in this area.

It is essential to have worked in a Financial Adviser office involved with pensions and investment planning.

Diploma Level 4 is essential.