We’re working with a well-established, independent financial planning business that is looking to appoint an experienced Compliance Manager / Compliance Officer on an initial 12-month fixed-term contract.

This is an excellent opportunity to join a growing wealth management firm in a broad, hands-on compliance role, supporting advisers and the wider business across all aspects of regulatory compliance.

The Role

Working closely with senior management, you’ll play a key role in maintaining the firm’s compliance framework while providing day-to-day guidance and support to a network of financial advisers.

Key responsibilities include:

• Carrying out compliance monitoring and file reviews.
• Providing regulatory advice and support to advisers and senior stakeholders.
• Managing the firm’s Training & Competence framework, including FIT assessments.
• Reviewing and maintaining compliance policies and procedures.
• Handling complaints, investigations and regulatory reporting where required.
• Conducting compliance audits and risk assessments.
• Supporting operational projects and business growth initiatives from a compliance perspective.
• Liaising with regulators and external stakeholders when necessary.

About You

To be considered, you’ll ideally have:

• A minimum of two years’ compliance experience within an IFA, Wealth Management or Financial Planning environment.
• A strong understanding of FCA regulations and the UK financial advice market.
• Level 4 Diploma qualified (or working towards completion).
• Experience carrying out compliance monitoring and file reviews.
• Exposure to Training & Competence frameworks, including FIT assessments.
• Excellent communication skills with the confidence to advise, challenge and influence where appropriate.
• Strong organisational skills and excellent attention to detail.

Experience supporting business growth, operational change, provider due diligence or wider compliance projects would be beneficial, although not essential.

Applicants must be located and eligible to work in the UK without sponsorship.

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