Compliance & Operations Manager

ZipRecruiter; Leeds; On-site; GBP 65,000; Full time

Job summary

A leading financial planning firm is seeking a Compliance & Operations Manager based in Leeds. The role involves day-to-day leadership over compliance and operations, managing a team to ensure regulatory adherence and productivity. Offers a competitive salary, bonus, and numerous employee benefits, including professional development support.

Benefits

25 days holiday plus bank holidays

4pm finish on Fridays

5% employer pension contribution

Private healthcare & employee assistance programme

Ongoing professional development support

Flexible benefits including holiday purchase scheme

Smart/casual dress code & regular social events

Qualifications

• Diploma (Level 4) qualified - essential.
• Strong understanding of FCA regulation and advice frameworks.
• Experience as Compliance Manager or Operations Manager in financial services.

Responsibilities

• Oversee compliance monitoring programme and regulatory policy updates.
• Manage a team of paraplanners and administrators for workflow efficiency.
• Conduct quality reviews, audits, and support FCA communications.

Skills

Leadership

Organisation

Communication

Attention to Detail

Education

Level 4 Diploma in Regulated Financial Planning

Job description

Job Description

Compliance & Operations Manager - Financial Planning Firm

Leeds - Office BasedUp to £65,000 + Annual Bonus

Must hold Level 4 Diploma in Regulated Financial Planning

Are you a compliance professional with strong leadership skills and a background in financial planning operations? NJR Recruitment is exclusively working on an exciting opportunity to join a growing independent financial advice business in central Leeds as a Compliance & Operations Manager.

This is a hands-on leadership role managing a team of 7 paraplanners and administrators, ensuring the business meets its regulatory responsibilities while supporting adviser productivity and operational efficiency.

The Role:

You will be responsible for the day-to-day leadership of back-office operations and the compliance function, working closely with the directors to deliver excellent outcomes for clients, staff, and regulators.

Key Responsibilities Include:

• Overseeing the compliance monitoring programme, advice framework, and regulatory policy updates
• Line managing a team of paraplanners and administrators, ensuring workflow efficiency and service standards
• Conducting quality reviews and audits, and supporting regulatory submissions and FCA communications
• Acting as the central point of contact for compliance queries and operational escalations
• Embedding a culture of compliance and continuous improvement
• Supporting complaints handling, T&C, training delivery, and risk management
• Monitoring SLAs and KPIs across support functions and ensuring process improvements align with business growth

Who We’re Looking For:

• Diploma (Level 4) qualified - essential
• Strong understanding of FCA regulation, advice frameworks, and advice firm operations
• Experience as a Compliance Manager, Operations Manager or Compliance Officer within an IFA/wealth management business
• Experience managing staff and delivering on team objectives
• Excellent organisational and communication skills
• A proactive, leadership-focused mindset with a high attention to detail

What’s on Offer:

• Salary up to £65,000 + Annual Bonus
• 25 days holiday + bank holidays (with increases for service)
• 4pm finish on Fridays
• 5% employer pension contribution
• Private healthcare & employee assistance programme
• Ongoing professional development support
• Flexible benefits including holiday purchase scheme
• Smart/casual dress code & regular social events

?? If you’re a Level 4 qualified compliance leader looking to make a real impact in a collaborative and forward-thinking advice firm — we’d love to hear from you.

Apply now or contact NJR Recruitment for a confidential conversation quoting NJR15826