Compliance Manager


Do you have compliance experience within an IFA, Financial Planning or Wealth Management firm?

My client, a growing financial planning and wealth management firm is recruiting for an experienced Compliance Manager to join their business during an exciting period of change. 

This is a great opportunity to step into a rapidly expanding firm – one where you will play a pivotal role in their regulatory and risk framework, ensure systems and procedures are in place to meet both regulatory and internal requirements for all markets in which they operate, and update all stakeholders on regulatory change and risk-related matters.    

Key duties and responsibilities;

  • Delivering a sustainable risk-based compliance programme and taking responsibility for sustaining standards of regulatory compliance
  • Identifying compliance process improvements/weaknesses and presenting solutions where appropriate
  • Managing annual compliance diary to ensure key business and regulatory timescales are met
  • Monitoring and maintaining regulatory registers to identify relevant risks
  • Working with external file check support to ensure robust and compliant advice files and identifying ongoing improvements
  • Drafting compliance policies and procedures and reviewing these annually
  • Providing guidance to stakeholders on regulatory changes and overseeing staff training and ongoing competence
  • Managing day-to-day compliance activities and managing complaints through to resolution
  • Ensuring continual embedding and implementation of Consumer Duty within the firm
  • Being the main point of contact to the FCA and responding to any requests

Due to the nature of this Compliance Manager role, previous experience in a similar regulatory environment is required alongside strong working knowledge of the FCA Code of Conduct and a certificate in financial planning or equivalent.

Please note, that this role will be covering offices in Droitwich and Gloucester and will be office-based initially with some flexibility for hybrid-working thereafter. 

If this role is of interest, then please get in touch to discuss further or apply today!