At a Glance
- Tasks: Lead a team in financial services, ensuring compliance and high-quality client outcomes.
- Company: Established financial services business with a focus on team development.
- Benefits: Hybrid working, competitive salary, and opportunities for career progression.
- Other info: Collaborative culture with a focus on process improvement and operational efficiency.
- 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 - 56000 £ 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
- Paraplanning Oversight
- 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
- Compliance & Risk Management
- 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
- Client & Adviser Support
- 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
- Management Information & Reporting
- 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
- Process Improvement & Systems Development
- 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 employer: RGH-Global Ltd
RGH-Global Ltd is an excellent employer, offering a supportive work culture that values professional growth and development. Located in Sheffield, employees benefit from a generous 33 days of annual leave and life assurance, making it an attractive place for those seeking a rewarding career in the legal field.
StudySmarter Expert Advice🤫
We think this is how you could land Financial Services and Compliance Manager
✨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 role.
✨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 interviews! A quick thank-you email reiterating your interest can keep you top of mind. And remember, apply through our website for the best chance at landing that Financial Services and Compliance Manager role!
We think you need these skills to ace Financial Services and Compliance Manager
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 tell us why you're passionate about financial services and how you can contribute to our team. Be sure to mention specific experiences that align with the job description.
Showcase Your Communication Skills:As a key player in our operations, strong communication is essential. In your application, demonstrate your ability to communicate effectively with stakeholders and team members. We love seeing examples of how you've managed complex queries or led teams!
Apply Through Our Website:We encourage you to apply through our website for a smoother process. It helps us keep track of applications and ensures you get all the updates directly from us. Plus, it shows you're keen on joining our team!
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 ability 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 capabilities and calmness under pressure.
✨Bring Data Insights
Since the role involves producing operational reports, be prepared to discuss how you've used data to identify risks or improve processes in previous roles. This will show that you can leverage insights to drive operational efficiencies and enhance service delivery.
