At a Glance
- Tasks: Lead compliance and 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: Opportunity for career growth in a supportive and innovative environment.
- 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.
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:- 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
- 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
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
Compliance Manager in Taunton employer: Tate Recruitment
Join a highly regarded Independent Financial Advisory firm in Taunton, where you will be part of a dynamic team dedicated to delivering exceptional financial planning services. With a strong emphasis on compliance and operational excellence, the company fosters a supportive work culture that prioritises employee growth and development, offering competitive salaries and benefits. This role not only allows for hybrid working but also provides the opportunity to make a significant impact as the firm scales up, ensuring a rewarding and meaningful career path.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Manager in Taunton
✨Tip Number 1
Network like a pro! Reach out to your connections in the financial services sector, especially those who have experience with IFA practices. A friendly chat can lead to insider info about job openings that might not even be advertised yet.
✨Tip Number 2
Prepare for interviews by brushing up on compliance regulations and operational workflows specific to IFAs. We recommend creating a cheat sheet of key points to discuss, so you can showcase your expertise and confidence during the interview.
✨Tip Number 3
Don’t forget to follow up after interviews! A quick thank-you email reiterating your interest in the role can keep you fresh in their minds. Plus, it shows your enthusiasm for the position and the company.
✨Tip Number 4
Apply through our website for the best chance at landing that Compliance Manager role. We’re always on the lookout for talented individuals like you, and applying directly can help us spot your application faster!
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 our needs!
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 resonate with us.
Showcase Your Skills:Don’t just list your skills; demonstrate them! Use bullet points to clearly outline your experience with FCA compliance, internal controls, and operational workflows. We love seeing concrete examples of your expertise.
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 don’t miss out on any important updates from us!
How to prepare for a job interview at Tate Recruitment
✨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
As this role involves hands-on leadership, prepare examples of how you've successfully led teams in the past. Think about specific challenges you faced and how you overcame them while maintaining operational excellence. This will demonstrate your capability to manage and inspire a team.
✨Understand Their Business Model
Research the firm’s business model and their approach to client experience. Be ready to discuss how you can contribute to their growth initiatives and enhance their compliance processes. Showing that you understand their unique position in the market will set you apart.
✨Prepare for Scenario Questions
Expect scenario-based questions that assess your problem-solving skills in compliance and operational contexts. Think through potential compliance issues they might face and how you would handle them. This will highlight your proactive approach and strategic thinking.
