Find a job 
Featured Companies 
Featured Universities 
For Companies At a Glance
- Tasks: Lead compliance functions and ensure quality assurance in a dynamic financial advice firm.
- Company: Join a reputable West Midlands IFA known for client-centric financial planning and a people-focused culture.
- Benefits: Enjoy hybrid working, competitive salary (£40-65k), and excellent mentorship from the leadership team.
- Why this job: This role offers autonomy, growth opportunities, and a chance to make a real impact in compliance.
- Qualifications: Diploma Level 4 required; experience in financial advising, pensions, or investment planning is essential.
- Other info: Ideal for aspiring compliance managers seeking development towards Head of Compliance.
The predicted salary is between 32000 - 52000 £ per year.
An excellent opportunity with a West Midlands independent financial advice firm looking to recruit a Compliance Manager / Head. This role will support day to day compliance function, FCA liaison, line of sight to T&C operations and responsible for quality assurance/ file review team. This position will not require SMF16/17 functions and will benefit from the support of a 3rd party compliance service provider. My client has an excellent reputation as a long standing IFA business providing client centric financial planning services and committed to being a people focused organisation.
Highlights include:
- Be an integral part of a well-established directly authorised Financial Services firm
- Enjoy day-to-day autonomy with full support from leadership team.
- Open to an experienced or aspiring compliance manager seeking a development pathway to Head of Compliance.
- Receive excellent 121 mentorship and training from leadership team.
- Package based on experience and development needs with suggested salary guide of £40-65k.
- Hybrid working.
Candidate requirements:
- This opportunity is ideally suited to a candidate from a similar background or individuals with technical skills gained as a Paraplanner or File Review Specialist keen to progress this area.
- It is essential to have worked in a Financial Adviser office involved with pensions and investment planning.
- Diploma Level 4 essential.
Compliance Manager - IFA firm employer: TG Selection
Contact Detail:
TG Selection Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Manager - IFA firm
✨Tip Number 1
Network with professionals in the financial services sector, especially those who have experience in compliance roles. Attend industry events or join relevant online forums to connect with potential colleagues and mentors who can provide insights into the role and the company.
✨Tip Number 2
Familiarise yourself with the latest FCA regulations and compliance standards relevant to independent financial advice firms. This knowledge will not only boost your confidence but also demonstrate your commitment to staying updated in the field during any discussions.
✨Tip Number 3
Prepare to discuss your experience with quality assurance and file reviews in detail. Think of specific examples where you improved compliance processes or resolved issues, as this will showcase your practical skills and understanding of the role.
✨Tip Number 4
Research the company’s values and culture, particularly their focus on client-centric services and people development. Be ready to articulate how your personal values align with theirs, as cultural fit is often a key consideration for employers.
We think you need these skills to ace Compliance Manager - IFA firm
Some tips for your application 🫡
Understand the Role: Before applying, make sure to thoroughly understand the responsibilities of a Compliance Manager in an IFA firm. Familiarise yourself with FCA regulations and compliance processes relevant to financial advice.
Tailor Your CV: Highlight your experience in compliance, particularly in financial services. If you have worked as a Paraplanner or File Review Specialist, emphasise those roles and how they relate to compliance management.
Craft a Compelling Cover Letter: Write a cover letter that showcases your passion for compliance and your understanding of the financial advisory sector. Mention specific experiences that demonstrate your ability to support day-to-day compliance functions and liaise with the FCA.
Showcase Your Qualifications: Ensure you mention your Diploma Level 4 qualification prominently in your application. If you have any additional certifications or training related to compliance, include those as well to strengthen your application.
How to prepare for a job interview at TG Selection
✨Showcase Your Compliance Knowledge
Make sure to brush up on the latest FCA regulations and compliance standards relevant to financial services. Demonstrating your understanding of these will show that you're not just familiar with the role but also committed to maintaining high standards.
✨Highlight Relevant Experience
Be prepared to discuss your previous roles, especially if you've worked as a Paraplanner or in file review. Share specific examples of how your experience has equipped you for the Compliance Manager position, focusing on your contributions to compliance functions.
✨Emphasise People Skills
Since this firm values a people-focused approach, highlight your ability to work collaboratively with teams and mentor others. Discuss any experiences where you've successfully communicated compliance requirements to non-compliance staff.
✨Prepare Questions for the Interviewers
Think of insightful questions to ask about the firm's culture, the support from the leadership team, and the development pathways available. This shows your genuine interest in the role and helps you assess if the company is the right fit for you.
