Compliance Manager – Financial Advice
IDEX Consulting are currently partnered with an innovative, technology-focused financial planning business that is looking to appoint an experienced Compliance Manager to join its growing team.
This is an excellent opportunity for someone with strong technical financial planning knowledge who enjoys being at the heart of advice quality, regulatory oversight and continuous improvement.
My client has built a modern, digital-first advice proposition covering investments, pensions, protection and mortgages. As the business continues to grow, they are looking for an individual who can take ownership of compliance monitoring and advice quality while acting as the go-to expert on suitability and regulatory requirements.
This is not a box-ticking compliance role. The successful candidate will play a key part in helping advisers deliver high-quality client outcomes, balancing regulatory rigour with a practical and commercial approach.
The Role
You will be responsible for overseeing the firm’s compliance monitoring programme and ensuring advice standards remain consistently high across all areas of the business.
Working closely with advisers, paraplanners, operational teams and senior management, you’ll provide technical guidance on complex suitability matters, interpret FCA regulations and help embed a strong compliance culture throughout the organisation.
A key part of the role will be understanding how advisers work in practice. My client is looking for someone who appreciates the end-to-end advice process and can apply regulatory requirements in a way that supports advisers while protecting clients and the business.
Given the firm’s technology-led approach, candidates should also be comfortable working within digital advice environments and leveraging technology, systems and data to enhance compliance oversight and efficiency.
To be successful, you’ll demonstrate:
- Deep knowledge of suitability requirements across investments, pensions, protection and mortgages.
- Strong understanding of FCA regulation, particularly COBS, Consumer Duty and Financial Promotions.
- Excellent attention to detail and the ability to communicate technical feedback clearly and constructively.
- A practical and commercial mindset that helps advisers achieve good client outcomes while maintaining regulatory standards.
- Strong understanding of the adviser journey and financial planning process.
- Confidence working within a technology-enabled advice environment and using systems, workflows and data to support compliance activity.
Qualifications
A Level 4 Diploma in Financial Planning (or equivalent) is highly desirable, with advanced qualifications viewed favourably.
Why Consider This Opportunity?
This is a chance to join a forward-thinking financial planning firm where compliance is viewed as a key business partner rather than simply a control function.
You’ll have genuine influence over advice quality, adviser development and regulatory standards while helping shape the future of a growing, technology-driven business.
For a confidential discussion and further information, please get in touch.
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