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- Tasks: Ensure compliance with regulations and support advisers in delivering quality client outcomes.
- Company: Established Independent Financial Adviser firm based in Manchester.
- Benefits: Competitive salary of £60,000+, plus additional benefits.
- Why this job: Join a key role in maintaining high regulatory standards and making a real impact.
- Qualifications: Level 4 Diploma in Financial Planning and experience in compliance required.
- Other info: Opportunity for professional growth in a supportive team environment.
The predicted salary is between 42000 - 84000 £ per year.
An established and growing Independent Financial Adviser (IFA) firm based in Manchester is seeking an experienced Senior Compliance Officer to join its Compliance team. This is a key role supporting the Head of Compliance and wider business in maintaining high regulatory standards and delivering positive client outcomes.
The successful candidate will play a central role in quality assurance, adviser oversight, and the ongoing development of compliance frameworks, while acting as a trusted point of reference across the firm.
Role & Responsibilities:
- Conducting file checks to assess suitability and quality of advice
- Undertaking call monitoring to ensure advice is suitable, compliant, and client-focused
- Assessing client vulnerability characteristics and identifying appropriate support measures
- Providing clear, constructive feedback to advisers, paraplanners, and the Compliance Director
- Liaising closely with the Head of Compliance on individual cases and assisting with the development, implementation, and monitoring of compliance policies and procedures
- When required, speaking with clients via telephone or email to discuss and resolve issues before escalation where appropriate
- Providing compliance support to departments across the business for ad-hoc queries
- Ensuring ongoing adherence to FCA regulations, legislation, and internal policies
Do you have the following to apply?
- Minimum Level 4 Diploma in Financial Planning (or equivalent)
- Previous experience in a Compliance role within an IFA/Wealth firm
- Strong working knowledge of FCA rules and regulatory expectations
- Proven experience of file checking and suitability assessment
Due to the high volume of applications received we are unable to respond to everyone directly. If you are not contacted within 7 working days, you have unfortunately not been shortlisted.
Clayton Davies is acting as an employment agency on behalf of our client.
Senior Compliance Officer in Manchester employer: Clayton Davies
Contact Detail:
Clayton Davies Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Senior Compliance Officer in Manchester
✨Tip Number 1
Network like a pro! Reach out to your connections in the finance and compliance sectors. Attend industry events or webinars to meet potential employers and get your name out there. Remember, it’s all about who you know!
✨Tip Number 2
Prepare for interviews by researching the company and its compliance practices. Be ready to discuss how your experience aligns with their needs. We want you to show them you’re not just a fit, but the perfect fit!
✨Tip Number 3
Practice your responses to common interview questions, especially those related to compliance scenarios. We suggest doing mock interviews with friends or mentors to build confidence and refine your answers.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets seen. Plus, we love seeing familiar names pop up in our system. Let’s get you that Senior Compliance Officer role!
We think you need these skills to ace Senior Compliance Officer in Manchester
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Senior Compliance Officer role. Highlight your experience in compliance, especially within an IFA or wealth firm, and showcase your knowledge of FCA rules. We want to see how your skills match what we're looking for!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're the perfect fit for our team. Mention specific experiences that relate to the responsibilities listed in the job description, and don’t forget to show your passion for maintaining high regulatory standards.
Be Clear and Concise: When writing your application, clarity is key. Use straightforward language and avoid jargon unless it's relevant. We appreciate a well-structured application that gets straight to the point, so make every word count!
Apply Through Our Website: We encourage you to apply through our website for the best chance of being noticed. It helps us keep track of applications and ensures you’re considered for the role. Plus, it’s super easy to do!
How to prepare for a job interview at Clayton Davies
✨Know Your Regulations
Make sure you brush up on FCA rules and regulatory expectations before the interview. Being able to discuss these confidently will show that you’re not just familiar with compliance but that you live and breathe it.
✨Showcase Your Experience
Prepare specific examples from your previous roles where you conducted file checks or provided feedback to advisers. This will help demonstrate your hands-on experience and how you can add value to their compliance team.
✨Ask Insightful Questions
Think of questions that show your interest in the company’s compliance culture and frameworks. Asking about their approach to client vulnerability or how they handle regulatory changes can set you apart as a proactive candidate.
✨Practice Clear Communication
Since the role involves liaising with various departments and clients, practice articulating your thoughts clearly. You might even want to do a mock interview with a friend to refine your communication style and ensure you come across as approachable and knowledgeable.
