At a Glance
- Tasks: Lead compliance efforts and ensure smooth operations in a dynamic financial advisory firm.
- Company: Reputable Independent Financial Advisory firm with strong growth potential.
- Benefits: Competitive salary, hybrid working, and opportunities for professional development.
- Other info: Dynamic environment with a focus on operational excellence and career growth.
- Why this job: Join a hands-on leadership role and make a real impact on compliance and client experience.
- Qualifications: Extensive IFA experience and strong understanding of UK financial services regulation.
The predicted salary is between 60000 - 70000 £ per year.
We’re working with a highly regarded Independent Financial Advisory firm with c. £600m AUM, strong links to a well‑known accountancy practice, and a reputation for delivering high‑quality, holistic financial planning. As the business scales up, they’re looking to appoint an experienced individual to help take the firm to the next level.
The Opportunity
This is a hands‑on leadership role working closely with the management team. You’ll be accountable to assist the business in meeting its compliance and regulatory responsibilities, to ensure the smooth, compliant, and efficient delivery of advice while supporting long‑term growth and scalability. Primary focus is on compliance, with a keen interest in operational excellence and client experience. Please note this person MUST have extensive, direct experience within an IFA (Independent Financial Adviser) business.
Key Responsibilities
- Compliance & Risk
- Work closely with the Compliance Officer to ensure FCA compliance
- Maintain robust internal controls and procedures
- Oversee audit readiness and regulatory reporting
- Embed Consumer Duty principles across operations
- Complaints handling
- T&C across the business
- File reviews
- Liaise with the management team on process
- FCA reporting
- Strategic and Operational Support
- Monitor operational KPIs and MI
- Support strategic growth initiatives (including scaling and acquisitions)
- Provide support to the operation teams on projects and initiatives
- Contribute to the development of client proposition and experience
- Maintain and log employee records
About You
Essential
- Significant experience within an IFA / wealth management environment
- Strong understanding of UK financial services regulation
- IFA practice leadership and management experience
- In‑depth knowledge of IFA operational workflows
- Have worked with and implemented compliance policies
- Highly organised, commercially aware, and solutions‑focused
- Strong working experience with Intelliflo Office
- Demonstrable operational management and leadership experience within the financial planning sector
- Hands‑on management approach; must be willing and able to implement as well as lead
Desirable
- Chartered status or relevant professional qualifications
- Experience with platforms such as Aviva, Quilter, or similar
Please be aware this advert will remain open until the vacancy has been filled. Interviews will take place throughout this period, therefore we encourage you to apply early to avoid disappointment.
Tate is acting as an Employment Business in relation to this vacancy. Tate is committed to promoting equal opportunities. To ensure that every candidate has the best experience with us, we encourage you to let us know if there are any adjustments we can make during the application or interview process. Your comfort and accessibility are our priority, and we are here to support you every step of the way. Additionally, we value and respect your individuality, and we invite you to share your preferred pronouns in your application.
Compliance Manager in Taunton employer: Tate Cambridge
Join a highly regarded Independent Financial Advisory firm in Taunton, where you will play a pivotal role in shaping compliance and operational excellence. With a strong commitment to employee growth, a collaborative work culture, and the flexibility of hybrid working arrangements, this is an excellent opportunity for those seeking meaningful and rewarding employment in the financial services sector.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Manager in Taunton
✨Network Like a Pro
Get out there and connect with people in the industry! Attend events, join online forums, or even hit up LinkedIn. The more you engage, the better your chances of landing that Compliance Manager role.
✨Show Off Your Expertise
When you get the chance to chat with potential employers, don’t hold back! Share your knowledge about compliance and operational excellence in the IFA space. Let them see how your experience can help their business thrive.
✨Prepare for the Interview
Do your homework on the company and its compliance practices. Be ready to discuss how you can contribute to their growth and ensure regulatory responsibilities are met. Confidence is key!
✨Apply Through Our Website
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we’re here to support you throughout the process, so let’s make it happen together!
We think you need these skills to ace Compliance Manager in Taunton
Some tips for your application 🫡
Tailor Your CV:Make sure your CV is tailored to the Compliance Manager role. Highlight your experience in IFA environments and any relevant compliance achievements. We want to see how your background aligns with 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 this role. Share specific examples of your leadership in compliance and operational excellence that will grab our attention.
Showcase Your Skills:Don’t forget to highlight your skills in compliance, risk management, and operational workflows. We’re keen on seeing how you’ve implemented compliance policies in the past, so be specific about your contributions!
Apply Through Our Website:We encourage you to apply through our website for the best experience. It’s super easy, and you’ll ensure your application gets to us directly. Plus, we love seeing candidates who take that extra step!
How to prepare for a job interview at Tate Cambridge
✨Know Your Compliance Stuff
Make sure you brush up on your knowledge of UK financial services regulation and compliance policies. Be ready to discuss how you've implemented these in previous roles, especially within an IFA environment. This will show that you’re not just familiar with the rules but can also apply them effectively.
✨Showcase Your Leadership Skills
Since this role involves hands-on management, prepare examples of how you've led teams in the past. Think about specific situations where you improved operational workflows or enhanced client experiences. Highlighting your leadership style will help demonstrate that you're the right fit for their management team.
✨Be Ready for Scenario Questions
Expect questions that put you in hypothetical situations related to compliance and risk management. Practice articulating your thought process and decision-making skills in these scenarios. This will help you convey your problem-solving abilities and how you handle challenges in a compliance-focused role.
✨Understand Their Business Model
Research the firm’s operations, especially their links to the accountancy practice and their approach to holistic financial planning. Being able to discuss how your experience aligns with their business model will show that you’re genuinely interested and have done your homework.
