Senior Compliance Manager

An established and growing Independent Financial Adviser (IFA) firm based in Manchester is seeking an experienced Senior Compliance Manager to join its Compliance team. This is a key role supporting the Compliance Director and wider business in maintaining high regulatory standards and delivering positive client outcomes.

The successful candidate will play a central role in quality assurance, adviser oversight, and the ongoing development of compliance frameworks, while acting as a trusted point of reference across the firm.

Role & Responsibilities:

• Conduct comprehensive file reviews across pensions, investments, protection, and other regulated products.
• Identify advice quality issues and provide constructive feedback and recommendations.
• Maintain and develop internal compliance policies, procedures, and monitoring programmes.
• Oversee the firm's risk management practices and assist in regulatory reporting.
• Provide day-to-day compliance support to advisers and staff, including technical and regulatory guidance.
• Monitor and interpret FCA rules, ensuring timely updates to the business.
• Lead compliance training sessions and help embed a strong compliance culture.
• Support the preparation for FCA audits, thematic reviews, and internal compliance assessments.
• Assist with complaint handling, financial promotions review, and general compliance oversight duties.

Do you have the following to apply?

• Minimum Level 4 Diploma in Financial Planning (or equivalent)
• Proven experience in a compliance role within an IFA, wealth management, or financial planning environment.
• Demonstrated expertise in file reviews and advice quality assessments.

Due to the high volume of applications received we are unable to respond to everyone directly. If you are not contacted within 7 working days, you have unfortunately not been shortlisted.

Clayton Davies is acting as an employment agency on behalf of our client.