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An exciting opportunity has arisen for an experienced Compliance Manager to join a leading financial planning firm. This role is central to ensuring robust compliance oversight of financial advisers within the business. Reporting to the Managing Director of Financial Planning, the Compliance Manager will work closely with key stakeholders, including Regional Directors, the FP Training Manager, and the Director of Wealth Operations.
About the Company
This independent financial planning and discretionary investment management firm manages over £5 billion in client assets. With offices across the South of England, the company is known for its collaborative culture, focus on excellence, and dedication to delivering outstanding client outcomes.
The Role
- The Compliance Manager will be responsible for establishing and delivering a first-line compliance framework within the financial planning division. Key responsibilities include:
- Developing and implementing a robust first-line risk and compliance strategy.
- Overseeing adviser training and competency (T&C), ensuring advisers progress to Competent Adviser Status (CAS).
- Maintaining compliance oversight on adviser CPD, SPS logs, and regulatory requirements.
- Supporting the leadership team on consumer duty compliance and distribution strategy decisions.
- Monitoring and reporting on key risk areas, breaches, and conflicts of interest.
- Assisting in the development of suitability reports, financial crime prevention processes, and compliance-related training.
- Collaborating with internal teams to ensure best practices and regulatory compliance are embedded in operations.
The ideal candidate will have:
- Experience working in a first-line compliance function within financial services.
- Strong knowledge of financial planning, investment management, and FCA regulations.
- A degree and/or professional qualifications in Financial Services, Compliance, Risk, or Supervision.
- Excellent interpersonal, communication, and stakeholder management skills.
- The ability to work autonomously, with a proactive and problem-solving mindset.
- Proficiency in Microsoft Office Suite (Word, Excel, PowerPoint, SharePoint, Outlook).
- A willingness to travel to different office locations as required.
What’s on offer:
- Competitive salary
- Discretionary bonus
- 28 days’ holiday + bank holidays + birthday leave
- Study assistance, life assurance, income protection, and pension
- Flexible working options, including hybrid work arrangements
This is an excellent opportunity to join a forward-thinking financial services firm that values professional development and a collaborative work environment.
