Operations and Compliance Manager

ZipRecruiter; Leeds; On-site; GBP 60,000 - 80,000; Full time

Job summary

A values-led financial advice business in the UK is looking for a Compliance Operations Leader. In this role, you will bridge compliance and operations, shaping effective processes and fostering a strong compliance culture. Ideal candidates will have a Level 4 Diploma and substantial experience in IFA compliance, demonstrating a proactive and innovative approach. The firm offers autonomy, support from influential leaders, and a culture that rewards initiative.

Benefits

Real ownership

Supportive leadership

Flexible work environment

Qualifications

• Experience in IFA compliance, owning regulatory matters confidently.
• Understanding of operational processes for effective performance.
• Desire to innovate and improve existing systems.

Responsibilities

• Lead compliance operations and support management.
• Oversee paraplanning and admin teams for quality outputs.
• Shape operational and compliance processes to be effective.
• Monitor regulatory changes and update policies as needed.
• Drive continuous improvement and foster a compliance culture.

Skills

Compliance knowledge

Operational efficiency

Solution-driven mindset

Education

Level 4 Diploma (DipFA/DipPFS)

Job description

Job Description

Shape something different. This company doesn’t believe in putting people into boxes.

Compliance. Operations. Process. Culture. They all matter - but it’s how they connect, really makes a difference.

We are working in partnership with our trusted client, who are serious about hiring the right individual, someone who can bridge the gap between compliance and operations.

This values-led financial advice business combines the stability of long-serving leadership with a bold, future-facing mindset. Since becoming directly authorised, they’re focused at aligning their internal functions to build smarter more effective ways of working.

They know where bottlenecks form. They know what needs to be changed. Now, they’re looking for someone who can help shape what good looks like.

This is a rare opportunity to join a growing firm at a pivotal time - where your ideas will be valued, your voice heard, and your impact felt. You'll be trusted with genuine autonomy to embed quality from the inside out, in a culture that prioritises common sense over red tape.

You'll:

• Lead day-to-day compliance and act as a key support to the SMF16/17, handling regulatory matters, risk reviews, and complaints with confidence.
• Oversee the paraplanning and admin teams, ensuring high-quality output, workflow efficiency, and adherence to SLAs.
• Shape and embed operational and compliance processes that are fit-for-purpose — pragmatic, not paper-heavy.
• Monitor regulatory changes, update internal policies (e.g. T&C, advice framework), and deliver relevant training.
• Be the bridge between compliance, operations, and commercial strategy, driving continuous improvement and a strong compliance culture.

You’ll bring:

• Level 4 Diploma (DipFA/DipPFS)
• Experience in IFA compliance – and the confidence to own it
• An understanding of how operations should feel when they run well
• A mindset that’s solution-led, not status-quo
• And the desire to build something better, not just maintain what’s there

You’ll get:

• Real ownership – a seat at the table and a voice in the room
• Support from low-ego, high-integrity leaders who back their people
• Flexibility, and a team that plays the long game
• A culture that rewards initiative, not politics

This isn’t a CV-box-tick hire. It’s about finding someone who wants to shape, grow, and get stuck in and who sees this as a career chapter worth writing.

Drop me a message on LinkedIn or email [e-mail] with your CV to find out more.