At a Glance
- Tasks: Lead compliance due diligence on acquisitions and coordinate regulatory reporting for all group firms.
- Company: Join one of the UK's larger independent advice and wealth management groups actively acquiring and integrating firms.
- Benefits: Enjoy hybrid working, a competitive holiday allowance, and a discretionary annual bonus.
- Other info: The role offers tailored professional development to help you progress.
- Why this job: Experience hands-on M&A exposure and a self-driven role with autonomy in compliance.
- Qualifications: Must have experience in a compliance or risk function within an FCA-regulated financial services firm.
The predicted salary is between 55000 - 55000 £ per year.
Hybrid, 3 days in the office and 2 from home, Salary up to £55,000 + bonus & benefits.
A well-established, acquisitive national IFA & wealth management group. Most compliance roles are a monitoring checklist. This one isn't. You'll join the risk function of one of the UK's larger independent advice and wealth management groups — a business that's actively acquiring, integrating and growing. That means real variety: firm acquisitions, variations of permission, authorisations and de-authorisations, and multi-entity reporting to the FCA as the group scales. If you want compliance work with breadth and group-wide visibility — rather than the same monthly cycle at a single, static firm — read on.
What you'll do:
- Lead compliance due diligence on acquisition firms, and own the authorisations, de-authorisations and variation-of-permissions process across acquisitions, appointed representatives and trading styles.
- Co‑ordinate regulatory reporting for all group firms — RegData submissions, fees and professional standards returns, and FCA thematic or ad‑hoc requests.
- Review and sign off financial promotions and client‑facing templates in line with FCA rules.
- Ensure adequate Professional Indemnity and Directors' & Officers' cover across the group, and manage renewal of FCA permissions and ICO registrations.
- Act as the escalation point for regulatory queries, provide breach‑action sign‑off, and help deliver regulatory policy and project change.
Why it's a strong move:
- Breadth you won't get at a standstill firm — acquisitions, permissions, reporting and promotions in one remit.
- Hands‑on M&A exposure that's genuinely hard to find elsewhere.
- A self‑driven role with the autonomy to own your work, backed by an experienced senior risk team.
What we're looking for:
- Experience in a compliance or risk function within an FCA‑regulated advice, wealth or financial services firm.
- Sound knowledge of FCA regulation across retail investment and wealth advice.
- Familiarity with RegData reporting and the variation‑of‑permissions process — or the appetite to develop it quickly.
- A confident communicator who can work independently and to deadline.
What's on offer:
- Hybrid working, a competitive holiday allowance with buy/sell scheme, your birthday off and extra days for long service.
- Discretionary annual bonus, contributory pension and death‑in‑service cover.
- Health & wellbeing cash plan with cashback on everyday healthcare and discounted gym membership.
- Tailored professional development to help you progress.
Compliance Management Executive in Bromsgrove employer: Ortus PSR Ltd.
This well-established national IFA & wealth management group is based in the UK and focuses on growth through acquisitions. Employees benefit from a hybrid work model and a health & wellbeing cash plan, fostering a supportive environment for professional development.
