IFA Compliance Manager

We're working with a well-established and highly regarded financial planning business that is looking to appoint a Compliance Manager on an initial 12-month fixed-term contract to support the business through an exciting period of growth.

This is an excellent opportunity to join a collaborative, values-led organisation where compliance is viewed as a genuine business partner. You'll work closely with senior stakeholders, helping to shape and strengthen the firm's compliance framework while supporting a positive compliance culture across the business.

The Role:

As Compliance Manager, you'll play a key role in ensuring the business continues to meet its regulatory obligations and industry best practice. Your responsibilities will include:

• Conducting compliance monitoring reviews, file reviews and thematic testing
• Providing day-to-day regulatory advice and guidance to the business
• Supporting the development and maintenance of compliance policies and procedures
• Monitoring regulatory developments and assessing their business impact
• Assisting with regulatory reporting and management information
• Reviewing complaints and supporting investigations into compliance breaches
• Carrying out compliance risk assessments and recommending improvements
• Delivering compliance training and promoting a strong compliance culture
• Preparing reports for senior management and Board-level committees

We're keen to speak with candidates who have:

• Level 4 Diploma in Financial Planning (or equivalent) - essential
• Previous experience in a Compliance Manager or senior compliance role within wealth management or financial advice
• Strong knowledge of FCA regulation and financial advice standards
• Experience conducting compliance monitoring, file reviews and risk assessments
• Excellent understanding of governance, compliance frameworks and regulatory requirements
• Strong communication skills with the ability to build relationships across the business
• A practical, solutions-focused approach to compliance

Applicants must be located and eligible to work in the UK without sponsorship.

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