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For Companies At a Glance
- Tasks: Lead compliance and operations, ensuring quality and efficiency in a dynamic environment.
- Company: Join a values-led financial advice firm focused on innovation and effective collaboration.
- Benefits: Enjoy real ownership, flexible work, and support from approachable leaders.
- Why this job: Shape the future of compliance and operations while making a meaningful impact.
- Qualifications: Level 4 Diploma and experience in IFA compliance required; solution-oriented mindset essential.
- Other info: This role is perfect for those eager to grow and contribute to a thriving culture.
The predicted salary is between 36000 - 60000 £ per year.
Job Description
Shape something different. This company doesn’t believe in putting people into boxes.
Compliance. Operations. Process. Culture. They all matter – but it’s how they connect, really makes a difference.
We are working in partnership with our trusted client, who are serious about hiring the right individual, someone who can bridge the gap between compliance and operations.
This values-led financial advice business combines the stability of long-serving leadership with a bold, future-facing mindset. Since becoming directly authorised, they’re focused at aligning their internal functions to build smarter more effective ways of working.
They know where bottlenecks form. They know what needs to be changed. Now, they’re looking for someone who can help shape what good looks like.
This is a rare opportunity to join a growing firm at a pivotal time – where your ideas will be valued, your voice heard, and your impact felt. You'll be trusted with genuine autonomy to embed quality from the inside out, in a culture that prioritises common sense over red tape.
You'll:
- Lead day-to-day compliance and act as a key support to the SMF16/17, handling regulatory matters, risk reviews, and complaints with confidence.
- Oversee the paraplanning and admin teams, ensuring high-quality output, workflow efficiency, and adherence to SLAs.
- Shape and embed operational and compliance processes that are fit-for-purpose — pragmatic, not paper-heavy.
- Monitor regulatory changes, update internal policies (e.g. T&C, advice framework), and deliver relevant training.
- Be the bridge between compliance, operations, and commercial strategy, driving continuous improvement and a strong compliance culture.
You’ll bring:
- Level 4 Diploma (DipFA/DipPFS)
- Experience in IFA compliance – and the confidence to own it
- An understanding of how operations should feel when they run well
- A mindset that’s solution-led, not status-quo
- And the desire to build something better, not just maintain what’s there
You’ll get:
- Real ownership – a seat at the table and a voice in the room
- Support from low-ego, high-integrity leaders who back their people
- Flexibility, and a team that plays the long game
- A culture that rewards initiative, not politics
This isn’t a CV-box-tick hire. It’s about finding someone who wants to shape, grow, and get stuck in and who sees this as a career chapter worth writing.
📩 Drop me a message on LinkedIn or email josh.glen@bwd-search.com with your CV to find out more.
Operations and Compliance Manager employer: BWD Search & Selection
Contact Detail:
BWD Search & Selection Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Operations and Compliance Manager
✨Tip Number 1
Research the company culture and values thoroughly. Since they prioritise common sense over red tape, demonstrating your understanding of their approach in conversations can set you apart.
✨Tip Number 2
Prepare to discuss specific examples from your past experience where you've successfully bridged the gap between compliance and operations. This will showcase your ability to drive continuous improvement.
✨Tip Number 3
Familiarise yourself with recent regulatory changes relevant to the financial advice sector. Being able to speak knowledgeably about these changes will demonstrate your proactive mindset and commitment to compliance.
✨Tip Number 4
Think about innovative ideas you could bring to the role that align with their goal of building smarter, more effective ways of working. Presenting these during discussions can highlight your solution-led mindset.
We think you need these skills to ace Operations and Compliance Manager
Some tips for your application 🫡
Understand the Role: Before applying, take the time to thoroughly understand the responsibilities and expectations of the Operations and Compliance Manager position. Reflect on how your skills and experiences align with the job description.
Tailor Your CV: Customise your CV to highlight relevant experience in compliance and operations. Use specific examples that demonstrate your ability to bridge the gap between these areas and showcase your solution-led mindset.
Craft a Compelling Cover Letter: Write a cover letter that not only outlines your qualifications but also conveys your passion for shaping and improving processes. Mention how you can contribute to the company's culture and values, emphasising your desire to build something better.
Proofread and Edit: Before submitting your application, carefully proofread your documents for any errors or inconsistencies. A polished application reflects your attention to detail and professionalism, which are crucial for this role.
How to prepare for a job interview at BWD Search & Selection
✨Understand the Company Culture
Before your interview, take some time to research the company's culture and values. They prioritise common sense over red tape, so be prepared to discuss how you can contribute to a pragmatic approach in compliance and operations.
✨Showcase Your Experience
Highlight your Level 4 Diploma and any relevant experience in IFA compliance. Be ready to share specific examples of how you've successfully managed compliance issues or improved operational processes in previous roles.
✨Demonstrate a Solution-Led Mindset
The company is looking for someone who is solution-led rather than status-quo. Prepare to discuss challenges you've faced in compliance or operations and how you approached them with innovative solutions.
✨Prepare Questions About Continuous Improvement
Since the role involves driving continuous improvement, come prepared with insightful questions about their current processes and how you can help shape them. This shows your proactive attitude and genuine interest in making a difference.
