Financial Services and Compliance Manager

RGH-Global Ltd; England; On-site; GBP 36,000 - 44,000; Full time

Benefits offered by this job

Hybrid working model

Leadership-level responsibility

Career progression opportunities

Job summary

A leading financial services firm is seeking an experienced Financial Services and Compliance Manager to lead its compliance operations and paraplanning function. You will manage daily operations across client servicing and onboarding, ensuring high service quality and adherence to regulatory standards. The ideal candidate has proven leadership experience and strong knowledge of FCA regulations. This role offers hybrid working options, competitive salary, and opportunities for long-term career progression.

Qualifications

• Proven leadership experience within financial services or IFA operations.
• Strong working knowledge of FCA regulation and compliance frameworks.
• Experience managing operational workflows and service level delivery.

Responsibilities

• Lead and develop a team of administrators and paraplanners.
• Oversee end-to-end workflow including client servicing and onboarding.
• Maintain oversight of regulatory and compliance activities.

Skills

Leadership experience

Knowledge of FCA regulations

Operational workflow management

Back-office systems proficiency

Communication skills

Education

Level 4 Diploma in Financial Planning

Tools

Intelliflo Office

Excel

Job description

Location: Near Ulverston (Hybrid working) Salary: £40,000+ (flexible dependent on experience)

Overview

An established financial services business is seeking an experienced Financial Services and Compliance Manager to lead its administration and paraplanning function. This is a key operational leadership role responsible for driving service quality, compliance standards, workflow performance and team development. You will manage day-to-day operations across client servicing, paraplanning and new business processing while working closely with senior stakeholders to ensure consistently high client outcomes and strong regulatory standards.

Key Responsibilities

Leadership & Team Management

• Lead, motivate and develop a team of administrators and paraplanners
• Deliver regular one-to-ones, performance reviews and structured development plans
• Build a high-performing, accountable and collaborative team culture
• Resource plan effectively to manage workloads, peak demand and team capacity

Workflow & Operational Delivery

• Oversee end-to-end workflows including:
  • Pre-meeting preparation
  • Review packs
  • Post-review actions
  • Client servicing
  • New business processing and onboarding
  • Investment and protection transactions
• Maintain strong workflow discipline through planning sessions, workload controls and prioritisation
• Ensure consistent application of procedures, templates and document controls

Paraplanning Oversight

• Manage prioritisation of research, suitability reports, cashflow modelling and review documentation
• Carry out quality assurance checks and structured file feedback
• Support trainee paraplanners with case-based development and progression

Compliance & Risk Management

• Maintain oversight of regulatory and compliance activities and key deadlines
• Ensure robust controls across AML, ID verification, fee agreements, disclosures and documentation
• Conduct file reviews and oversee remediation actions
• Support regulatory reporting requirements and professional indemnity processes
• Contribute to ongoing risk management and governance activity

Client & Adviser Support

• Act as escalation point for complex client queries
• Maintain strong communication with advisers and stakeholders regarding workflow progress
• Support consistent, high-quality client service delivery

Management Information & Reporting

• Produce weekly operational reporting covering workload, turnaround times, service levels and backlog
• Use data insights to identify risks, bottlenecks and improvement opportunities
• Maintain team dashboards to improve visibility and performance tracking

Process Improvement & Systems Development

• Identify inefficiencies and implement process enhancements
• Standardise documentation and workflows to improve quality and consistency
• Lead operational change initiatives focused on service delivery and turnaround improvements

Skills & Experience Required

Essential

• Proven leadership experience within financial services, wealth management or IFA operations
• Strong working knowledge of FCA regulation and compliance frameworks
• Experience managing operational workflows and service level delivery
• Proficiency using back-office systems (such as Intelliflo Office) and Excel-based reporting
• Excellent communication, coaching and stakeholder management skills

Desirable

• Level 4 Diploma in Financial Planning or paraplanning background
• Experience improving turnaround times, reducing backlog or driving operational efficiencies

Personal Attributes

• Highly organised with strong decision-making capability
• Collaborative leadership style with a coaching mindset
• Analytical and improvement-focused
• Calm and professional under pressure

What's On Offer

• Hybrid working (following onboarding period)
• Leadership-level responsibility with real operational influence
• Opportunity to shape processes and team development
• Long-term career progression within financial services operations