Perspective Financial Group are proud to be the UK’s best client-centric financial planning firm for both our clients and our staff. Founded in 2008, we have now grown to over 70 local offices nationwide, employing over 950 people including more than 270 highly qualified financial planners and paraplanners. The qualities we look for in people who wish to join us include sharing our client-centric approach, having the focus and drive required to produce excellent results, and having a passion for learning and development.
Our Purpose, Vision and Values are at the core of what we do. See more over on our website at Vision and Values | Perspective Financial Group Ltd (pfgl.co.uk)
Reporting directly to the Head of Acquisitions Compliance, the Acquisitions Compliance Manager will lead regulatory due diligence reviews of financial advice businesses being considered for acquisition and support their subsequent regulatory onboarding and integration. This is a hands-on role involving detailed document, data and regulatory analysis. The role holder will identify historic and forward looking risks, produce clear and commercially focused conclusions, and translate findings into proportionate pre-completion and integration actions.
- Qualified to QCF Level 4 or above in financial planning, regulated financial planning, compliance or an equivalent relevant professional qualification.
- Relevant experience in financial services compliance, regulatory due diligence, compliance monitoring, file review, audit or risk consultancy role.
- Strong understanding of the UK wealth management and financial advice industry, including relevant products, services and advice processes.
- Strong working knowledge of the FCA regulatory framework applicable to UK financial advice and wealth management firms, including practical experience across several of the following: Consumer Duty, MiFID II ongoing servicing, COBS and suitability, IPRU, SYSC, TC, FIT, complaints, SM&CR, regulatory reporting and professional indemnity insurance.
- Demonstrable analytical and investigative skills, including the ability to review complex or incomplete information, reconcile data from different sources, identify inconsistencies and reach balanced, evidence based conclusions.
- Ability to distinguish between technical findings and matters that create a material regulatory, client, financial or transaction risk.
- Inquisitive and naturally curious, with the confidence to look beyond initial responses, challenge gaps or inconsistencies, and seek the evidence needed to reach sound conclusions.
- Strong report writing skills, with the ability to convert detailed technical findings into concise, balanced and commercially relevant commentary for senior stakeholders.
- Excellent interpersonal and verbal communication skills, including the confidence to ask probing questions, communicate uncertainty and manage sensitive vendor or stakeholder relationships constructively.
- Highly organised, with the ability to manage a varied workload, maintain accurate records and deliver high quality work to tight deadlines.
- Competent user of Microsoft Excel, with the ability to organise, filter, reconcile and interpret sizeable datasets and produce management information to support decision making.
- Comfortable working independently in a high growth and changing environment, while collaborating effectively across multidisciplinary teams.
Acquisitions Compliance Manager employer: Perspective Financial Group
As a Mortgage Advisor with our Perspective (North West) team, you will enjoy the flexibility of remote work while being part of a supportive and collaborative culture that prioritises professional growth. We offer competitive salaries and a commitment to providing first-class service to clients, ensuring that you have the resources and training needed to excel in your role. Join us for a rewarding career where your expertise is valued and your contributions make a real difference.
Contact Details:
Perspective Financial Group Recruitment Team
