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- Tasks: Lead a team ensuring compliance and operational efficiency in a financial planning firm.
- Company: Join a growing independent financial advice business in central Leeds.
- Benefits: Enjoy a salary up to £65,000, annual bonus, private healthcare, and flexible benefits.
- Why this job: Make a real impact in a collaborative environment with a focus on professional development.
- Qualifications: Must hold a Level 4 Diploma in Regulated Financial Planning and have relevant experience.
- Other info: Experience managing staff and delivering on team objectives is essential.
The predicted salary is between 52000 - 78000 £ per year.
Compliance & Operations Manager - Financial Planning Firm
Leeds - Office Based
Up to £65,000 + Annual Bonus
Must hold Level 4 Diploma in Regulated Financial Planning
Are you a compliance professional with strong leadership skills and a background in financial planning operations? NJR Recruitment is exclusively working on an exciting opportunity to join a growing independent financial advice business in central Leeds as a Compliance & Operations Manager. This is a hands-on leadership role managing a team of 7 paraplanners and administrators, ensuring the business meets its regulatory responsibilities while supporting adviser productivity and operational efficiency.
The Role:
You will be responsible for the day-to-day leadership of back-office operations and the compliance function, working closely with the directors to deliver excellent outcomes for clients, staff, and regulators.
Key Responsibilities Include:
- Overseeing the compliance monitoring programme, advice framework, and regulatory policy updates
- Line managing a team of paraplanners and administrators, ensuring workflow efficiency and service standards
- Conducting quality reviews and audits, and supporting regulatory submissions and FCA communications
- Acting as the central point of contact for compliance queries and operational escalations
- Embedding a culture of compliance and continuous improvement
- Supporting complaints handling, T&C, training delivery, and risk management
- Monitoring SLAs and KPIs across support functions and ensuring process improvements align with business growth
Who We’re Looking For:
- Diploma (Level 4) qualified - essential
- Strong understanding of FCA regulation, advice frameworks, and advice firm operations
- Experience as a Compliance Manager, Operations Manager or Compliance Officer within an IFA/wealth management business
- Experience managing staff and delivering on team objectives
- Excellent organisational and communication skills
- A proactive, leadership-focused mindset with a high attention to detail
What’s on Offer:
- Salary up to £65,000 + Annual Bonus
- 25 days holiday + bank holidays (with increases for service)
- 4pm finish on Fridays
- 5% employer pension contribution
- Private healthcare & employee assistance programme
- Ongoing professional development support
- Flexible benefits including holiday purchase scheme
- Smart/casual dress code & regular social events
If you’re a Level 4 qualified compliance leader looking to make a real impact in a collaborative and forward-thinking advice firm — we’d love to hear from you. Apply now or contact NJR Recruitment for a confidential conversation quoting NJR15826.
Contact Detail:
NJR Recruitment Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance & Operations Manager
✨Tip Number 1
Familiarise yourself with the latest FCA regulations and compliance frameworks relevant to financial planning. This knowledge will not only help you in interviews but also demonstrate your commitment to staying updated in a rapidly changing industry.
✨Tip Number 2
Network with professionals in the financial planning sector, especially those who have experience in compliance roles. Attend industry events or join relevant online forums to build connections that could lead to valuable insights or referrals.
✨Tip Number 3
Prepare to discuss specific examples of how you've successfully managed teams and improved operational efficiency in previous roles. Highlighting your leadership skills and ability to drive compliance culture will set you apart from other candidates.
✨Tip Number 4
Research the company’s values and recent developments in their operations. Tailoring your conversation during interviews to align with their goals and demonstrating how you can contribute to their success will make a strong impression.
We think you need these skills to ace Compliance & Operations Manager
Some tips for your application 🫡
Understand the Role: Before applying, make sure you fully understand the responsibilities and requirements of the Compliance & Operations Manager position. Tailor your application to highlight your relevant experience in compliance and financial planning operations.
Highlight Relevant Qualifications: Since a Level 4 Diploma in Regulated Financial Planning is essential, ensure this qualification is prominently featured in your CV and cover letter. Discuss how your qualifications align with the job requirements.
Showcase Leadership Experience: This role requires strong leadership skills. In your application, provide specific examples of your experience managing teams, improving operational efficiency, and ensuring compliance within a financial services context.
Craft a Compelling Cover Letter: Write a tailored cover letter that not only summarises your CV but also expresses your enthusiasm for the role and the company. Mention how you can contribute to their goals and culture of compliance and continuous improvement.
How to prepare for a job interview at NJR Recruitment
✨Showcase Your Compliance Knowledge
Make sure to brush up on FCA regulations and compliance frameworks relevant to financial planning. Be prepared to discuss how you've applied this knowledge in previous roles, as it will demonstrate your expertise and suitability for the position.
✨Highlight Leadership Experience
Since this role involves managing a team, be ready to share specific examples of your leadership style and how you've successfully managed teams in the past. Discuss any challenges you faced and how you overcame them to ensure operational efficiency.
✨Prepare for Scenario-Based Questions
Expect questions that assess your problem-solving skills in compliance and operations. Prepare scenarios where you had to handle compliance issues or improve processes, and explain your thought process and the outcomes.
✨Demonstrate a Culture of Continuous Improvement
Talk about how you've previously embedded a culture of compliance and continuous improvement within your teams. Share examples of initiatives you've led that resulted in enhanced compliance practices or operational efficiencies.
