Compliance Manager - IFA firm

JR United Kingdom; Birmingham; On-site; GBP 40,000 - 65,000; Full time

Job summary

An independent financial advice firm in Birmingham is seeking a Compliance Manager. This role offers autonomy and support from leadership, focusing on compliance functions and quality assurance. Ideal for candidates with a background in financial advising, pensions, and investment planning.

Benefits

121 mentorship

Training from leadership

Qualifications

• Experience in a Financial Adviser office involved with pensions and investment planning.

Responsibilities

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

Skills

Compliance

Financial Planning

Pensions

Investment Planning

Job description

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Compliance Manager - IFA firm, Birmingham

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Client:

TG Selection

Location:

Birmingham, United Kingdom

Job Category:

Other

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EU work permit required:

Yes

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Job Views:

12

Posted:

12.05.2025

Expiry Date:

26.06.2025

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Job Description:

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

This role will support day-to-day compliance functions, FCA liaison, line of sight to T&C operations, and be responsible for quality assurance/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 organization.

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 121 mentorship and training from the leadership team
• Package based on experience and development needs with a suggested salary guide of £40-65k

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.