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- Tasks: Lead a team in financial services, ensuring compliance and high-quality client outcomes.
- Company: Established financial services business with a focus on leadership and development.
- Benefits: Hybrid working, competitive salary, and opportunities for career progression.
- Other info: Collaborative culture with a focus on process improvement and team development.
- Why this job: Make a real impact in a leadership role within a dynamic financial environment.
- Qualifications: Proven leadership experience in financial services and strong knowledge of FCA regulations.
The predicted salary is between 40000 - 50000 £ per year.
Location: Near Ulverston (Hybrid working)
Salary: £40,000+ (flexible dependent on experience)
Overview
An established financial services business is seeking an experienced Financial Services and Compliance Manager to lead its administration and paraplanning function. This is a key operational leadership role responsible for driving service quality, compliance standards, workflow performance and team development. You will manage day-to-day operations across client servicing, paraplanning and new business processing while working closely with senior stakeholders to ensure consistently high client outcomes and strong regulatory standards.
Key Responsibilities
- Leadership & Team Management
- Lead, motivate and develop a team of administrators and paraplanners
- Deliver regular one-to-ones, performance reviews and structured development plans
- Build a high-performing, accountable and collaborative team culture
- Resource plan effectively to manage workloads, peak demand and team capacity
- Workflow & Operational Delivery
- Oversee end-to-end workflows including:
- Pre-meeting preparation
- Review packs
- Post-review actions
- Client servicing
- New business processing and onboarding
- Investment and protection transactions
- Maintain strong workflow discipline through planning sessions, workload controls and prioritisation
- Ensure consistent application of procedures, templates and document controls
- Manage prioritisation of research, suitability reports, cashflow modelling and review documentation
- Carry out quality assurance checks and structured file feedback
- Support trainee paraplanners with case-based development and progression
- Maintain oversight of regulatory and compliance activities and key deadlines
- Ensure robust controls across AML, ID verification, fee agreements, disclosures and documentation
- Conduct file reviews and oversee remediation actions
- Support regulatory reporting requirements and professional indemnity processes
- Contribute to ongoing risk management and governance activity
- Act as escalation point for complex client queries
- Maintain strong communication with advisers and stakeholders regarding workflow progress
- Support consistent, high-quality client service delivery
- Produce weekly operational reporting covering workload, turnaround times, service levels and backlog
- Use data insights to identify risks, bottlenecks and improvement opportunities
- Maintain team dashboards to improve visibility and performance tracking
- Identify inefficiencies and implement process enhancements
- Standardise documentation and workflows to improve quality and consistency
- Lead operational change initiatives focused on service delivery and turnaround improvements
Skills & Experience Required
Essential
- Proven leadership experience within financial services, wealth management or IFA operations
- Strong working knowledge of FCA regulation and compliance frameworks
- Experience managing operational workflows and service level delivery
- Proficiency using back-office systems (such as Intelliflo Office) and Excel-based reporting
- Excellent communication, coaching and stakeholder management skills
Desirable
- Level 4 Diploma in Financial Planning or paraplanning background
- Experience improving turnaround times, reducing backlog or driving operational efficiencies
Personal Attributes
- Highly organised with strong decision-making capability
- Collaborative leadership style with a coaching mindset
- Analytical and improvement-focused
- Calm and professional under pressure
What's On Offer
- Hybrid working (following onboarding period)
- Leadership-level responsibility with real operational influence
- Opportunity to shape processes and team development
- Long-term career progression within financial services operations
Financial Services and Compliance Manager in England employer: RGH - Global Ltd
Contact Detail:
RGH - Global Ltd Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Financial Services and Compliance Manager in England
✨Tip Number 1
Network like a pro! Reach out to your connections in the financial services sector and let them know you're on the lookout for opportunities. A personal recommendation can go a long way in landing that dream job.
✨Tip Number 2
Prepare for interviews by researching the company and its culture. Understand their compliance standards and operational workflows so you can showcase how your experience aligns with their needs. We want you to shine!
✨Tip Number 3
Practice your responses to common interview questions, especially around leadership and team management. Use the STAR method (Situation, Task, Action, Result) to structure your answers and demonstrate your impact.
✨Tip Number 4
Don’t forget to follow up after your interview! A quick thank-you email reiterating your interest in the role can keep you top of mind. And remember, apply through our website for the best chance at success!
We think you need these skills to ace Financial Services and Compliance Manager in England
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Financial Services and Compliance Manager role. Highlight your leadership experience, compliance knowledge, and any relevant operational achievements. 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. Share specific examples of how you've led teams or improved processes in the past. We love a good story that showcases your skills!
Showcase Your Compliance Knowledge: Since this role involves a lot of compliance work, make sure to highlight your understanding of FCA regulations and compliance frameworks. We want to know how you’ve navigated these areas in your previous roles!
Apply Through Our Website: Don’t forget to apply through our website! It’s the best way for us to receive your application and ensures you’re considered for the role. Plus, it shows us you’re keen on joining our team at StudySmarter!
How to prepare for a job interview at RGH - Global Ltd
✨Know Your Stuff
Make sure you brush up on your knowledge of FCA regulations and compliance frameworks. Being able to discuss these confidently will show that you're not just familiar with the basics, but that you truly understand the intricacies of the role.
✨Showcase Your Leadership Skills
Prepare examples of how you've led teams in the past. Think about specific situations where you motivated your team or improved performance. This will help demonstrate your capability to build a high-performing culture, which is key for this position.
✨Be Ready for Scenario Questions
Expect questions that ask how you would handle specific client queries or operational challenges. Practise articulating your thought process and decision-making skills, as this will highlight your analytical abilities and calmness under pressure.
✨Highlight Process Improvement Experience
Come prepared with examples of how you've identified inefficiencies and implemented changes in previous roles. Discussing your experience with operational change initiatives will show that you can contribute to ongoing improvements in their processes.