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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-driven financial advice firm focused on innovation and effective processes.
- 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: Experience in IFA compliance and a solution-oriented mindset are essential.
- Other info: This role offers genuine autonomy and a chance to grow within a supportive culture.
The predicted salary is between 28800 - 48000 £ per year.
Overview
We are working in partnership with our trusted client, a values-led financial advice business that combines the stability of long-serving leadership with a bold, future-facing mindset. Since becoming directly authorised, they’ve focused on aligning internal functions to build smarter, more effective ways of working. They know where bottlenecks form and what needs to be changed. 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—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.
Pay range: This range is provided by BWD Search & Selection. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.
Responsibilities
- 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.
Qualifications
- 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
Benefits
- 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.
Job details
- Seniority level – Mid-Senior level
- Employment type – Full-time
- Job function – Administrative, Quality Assurance, and Other
- Location – Leeds, England, United Kingdom
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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
Familiarise yourself with the latest compliance regulations and operational best practices in the financial services sector. This knowledge will not only help you during interviews but also demonstrate your commitment to staying updated in a rapidly changing environment.
✨Tip Number 2
Network with professionals in the compliance and operations fields, especially those who have experience in IFA compliance. Engaging in conversations can provide valuable insights and may even lead to referrals that could boost your chances of landing the job.
✨Tip Number 3
Prepare to discuss specific examples of how you've successfully bridged gaps between compliance and operations in your previous roles. Highlighting your problem-solving skills and solution-led mindset will resonate well with the company's values.
✨Tip Number 4
Showcase your ability to drive continuous improvement by sharing ideas on how to enhance operational efficiency and compliance culture. This proactive approach will align with the company's desire for someone who wants to shape and grow within the organisation.
We think you need these skills to ace Operations and Compliance Manager
Some tips for your application 🫡
Understand the Role: Before applying, make sure you fully understand the responsibilities of the Operations and Compliance Manager. Highlight your experience in compliance and operations, and how you can bridge the gap between the two.
Tailor Your CV: Customise your CV to reflect the skills and experiences that align with the job description. Emphasise your experience in IFA compliance and operational efficiency, showcasing specific examples of how you've improved processes in previous roles.
Craft a Compelling Cover Letter: Write a cover letter that not only outlines your qualifications but also conveys your passion for shaping and improving compliance and operational processes. Mention your solution-led mindset and desire to build something better.
Showcase Your Soft Skills: In your application, highlight soft skills such as leadership, communication, and problem-solving. These are crucial for the role, especially since you'll be working closely with various teams and driving a strong compliance culture.
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. They value a pragmatic approach over red tape, so be prepared to discuss how you can contribute to a more efficient and effective working environment.
✨Showcase Your Compliance Experience
Since the role requires experience in IFA compliance, be ready to share specific examples of your past work in this area. Highlight any challenges you've faced and how you overcame them, demonstrating your confidence and ownership of compliance matters.
✨Demonstrate Solution-Led Thinking
The company is looking for someone with a solution-led mindset. Prepare to discuss instances where you've identified problems and implemented successful solutions, particularly in operations and compliance processes.
✨Prepare Questions About Continuous Improvement
As the role involves driving continuous improvement, come equipped with thoughtful questions about their current processes. This shows your interest in making a meaningful impact and aligns with their goal of building smarter ways of working.
