At a Glance
- Tasks: Oversee compliance policies and support operational workflows in a dynamic financial planning firm.
- Company: Join a growing financial planning firm focused on effective compliance and operational excellence.
- Benefits: Competitive salary, professional development, and a supportive team environment.
- Other info: Ideal for organised individuals who thrive in a hands-on, collaborative environment.
- Why this job: Make a real impact by improving processes and supporting colleagues in a vital role.
- Qualifications: Experience in compliance within IFA or wealth management and strong knowledge of UK regulations.
The predicted salary is between 50000 - 60000 £ per year.
Fram is working with a growing financial planning firm that is looking to engage a Compliance Manager to support its advisers, operational teams, and wider business. While compliance sits at the heart of the role, the position is broader than a traditional monitoring function and will suit someone who enjoys improving processes, supporting colleagues, and helping a business operate effectively.
The role involves overseeing compliance policies and procedures, supporting regulatory requirements, and ensuring operational workflows remain consistent and well controlled. There is regular interaction with advisers, paraplanners, and administrators, alongside responsibility for helping maintain standards across the client journey.
This may appeal to someone with significant experience within an IFA or wealth management environment who has developed a strong understanding of both compliance and practice management. Experience implementing compliance processes, supporting operational improvements, and working closely with advisory teams will be important. Strong knowledge of UK financial services regulation and Intelliflo Office is essential.
The role suits someone who is organised, commercially aware, hands-on, and comfortable balancing compliance responsibilities with the practical realities of running a successful financial planning business. Applicants must have the right to work in the UK.
Compliance Manager in Bristol employer: Fram Executive Search Limited
Fram is an excellent employer for those seeking a meaningful role in the financial planning sector, offering a collaborative work culture that values process improvement and operational excellence. Employees benefit from ongoing professional development opportunities, a supportive team environment, and the chance to make a tangible impact on the business's success. Located in a vibrant area, the firm fosters a dynamic atmosphere where compliance professionals can thrive and grow their careers.
Contact Details:
Fram Executive Search Limited Recruitment Team
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Manager in Bristol
✨Tip Number 1
Network like a pro! Reach out to your connections in the financial planning and compliance sectors. We all know that sometimes it’s not just what you know, but who you know. Attend industry events or webinars to meet potential employers and get your name out there.
✨Tip Number 2
Show off your skills! When you get the chance to chat with hiring managers or during interviews, highlight your experience with compliance processes and operational improvements. We want to see how you can make a real difference in their business!
✨Tip Number 3
Prepare for those tricky questions! Brush up on UK financial services regulations and be ready to discuss how you've implemented compliance measures in past roles. We know it can be daunting, but being well-prepared will help you shine.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we’re always looking for passionate individuals who are ready to take on the challenges of a Compliance Manager role.
We think you need these skills to ace Compliance Manager in Bristol
Some tips for your application 🫡
Read the Job Description Carefully:Before you start your application, make sure to read through the job description thoroughly. We want to see that you understand the role and how your experience aligns with what we're looking for.
Tailor Your CV and Cover Letter:Don’t just send a generic CV! Tailor your CV and cover letter to highlight your experience in compliance and practice management. Show us how your skills can help improve processes and support our advisers.
Showcase Relevant Experience:Make sure to emphasise any relevant experience you have within an IFA or wealth management environment. We’re keen to see how you've implemented compliance processes and supported operational improvements in your previous roles.
Apply Through Our Website:We encourage you to apply directly through our website. It’s the best way for us to receive your application and ensures you don’t miss out on any important updates regarding the position.
How to prepare for a job interview at Fram Executive Search Limited
✨Know Your Compliance Stuff
Make sure you brush up on UK financial services regulations before the interview. Familiarise yourself with the specific compliance policies and procedures relevant to the role, as well as any recent changes in legislation. This will show that you're not just knowledgeable but also proactive about staying updated.
✨Showcase Your Process Improvement Skills
Prepare examples of how you've improved processes in previous roles. Think about specific situations where your actions led to better compliance or operational efficiency. This will demonstrate your ability to not only monitor compliance but also enhance it, which is key for this position.
✨Engage with the Team Dynamics
Since the role involves regular interaction with advisers and operational teams, be ready to discuss how you’ve successfully collaborated with different stakeholders in the past. Highlight your communication skills and how you can support colleagues while maintaining compliance standards.
✨Be Organised and Hands-On
The job requires someone who is organised and practical. During the interview, convey your approach to balancing compliance responsibilities with the day-to-day operations of a financial planning business. Share strategies you use to stay organised and ensure workflows remain consistent and controlled.
