Compliance Officer - Wealth Management
West Midlands | Hybrid Working
Full-time, permanent role (37.5 hours per week)
Hybrid working with flexible arrangements
Salary: £45,000 - £50,000 per annum (dependent on experience and qualifications)
We have an exciting opportunity for a suitably qualified and experienced Compliance Officer to join a growing firm of Independent Financial Advisors based in the West Midlands.
Currently celebrating 10 years in business, the firm has grown organically and now supports a team of 7 IFAs, with ambitious plans for further growth over the coming years. This includes opening additional sites, recruiting more IFAs, and adopting AI-driven solutions to automate back‑office processes. Maintaining robust compliance frameworks during this period of change is a key priority.
Key Responsibilities
- Maintain up-to-date knowledge of regulatory requirements and advise senior management on changes
- Compliance monitoring and reporting
- File checking and client file reviews
- FCA reporting
- Maintaining the FCA Directory
- Adviser training and competency oversight
- FIT assessments
- Policy review and updates
- Mandatory training and CPD monitoring
- Ensuring adequate insurance cover, including PII and Cyber Security
- Complaints handling, resolution, and reporting
- Undertaking due diligence
The Right Person
This role is ideal for an individual progressing toward a Compliance Manager position who has the experience, ambition, and drive to join the management team and play a key role in the firm’s continued growth as UK financial services evolve.
The successful candidate will be:
- Self-motivated and highly organised
- Detail-oriented with strong accuracy
- Confident, decisive, and influential
- Results-focused
- Able to multitask and meet deadlines
- Strong in interpersonal skills and emotional intelligence
- A professional and effective communicator
Essential Requirements
- Minimum 2 years' experience in an IFA Compliance Officer role
- Level 4 Diploma in Regulated Financial Planning (CII or LIBF), or working towards completion
- Strong working knowledge of FCA regulations relating to IFA firms
- Proficiency in Microsoft Office
- Working knowledge of research and provider systems
- Professional written and verbal communication skills
Package & Benefits
- Company pension
- Flexitime
- Health & wellbeing programme
- Private medical insurance
- Home working
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