Financial Services and Compliance Manager

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

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