We’re working with a national IFA firm who are seeking an experienced Compliance Manager to support the organisation in meeting regulatory expectations and maintaining robust oversight across all areas of advice, administration and governance. The position offers the opportunity to contribute to the continued strength of the firm's compliance framework while working closely with advisers, management teams and operational functions.
Role & Responsibilities:
- Preparing clear, accurate and structured compliance reports for senior leadership and internal committees
- Managing client complaints from investigation through to resolution, ensuring fair outcomes and adherence to regulatory rules
- Monitoring regulatory developments, industry changes and emerging risks within financial services
- Supporting the operation and enhancement of the firm's compliance and risk frameworks, including risk assessments and control reviews
- Assisting with governance requirements, regulatory interactions and oversight activities
- Investigating compliance concerns, identifying root causes and supporting remediation work
- Supporting obligations relating to financial crime prevention, including AML, sanctions and fraud control
- Providing guidance to advisers and staff, including reviewing communications and marketing materials for compliance
Do you have the following to apply?
- Level 4 qualification (or equivalent) within financial services
- Strong understanding of UK financial regulation, including FCA requirements
- Good working knowledge of retail financial products such as pensions, investments, platforms and protection
- Experience operating within a compliance or risk function in an IFA firm.
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