Compliance Manager - IFA firm

An excellent opportunity with a West Midlands independent financial advice firm looking to recruit a Compliance Manager / Head.

This role will support day to day compliance function, FCA liaison, line of sight to T&C operations and responsible for quality assurance/ file review team. This position will not require SMF16/17 functions and will benefit from the the support of a 3rd party compliance service provider.

My client has an excellent reputation as a long standing IFA business providing client centric financial planning services and committed to being a people focused organisation.

Highlights include:

Be an integral part of a well-established directly authorised Financial Services firm

Enjoy day-to-day autonomy with full support from leadership team.

Open to an experienced or aspiring compliance manager seeking a development pathway to Head of Compliance.

Receive excellent 121 mentorship and training from leadership team.

Package based on experience and development needs with suggested salary guide of £40-65k.

Hybrid working.

Candidate requirements:

This opportunity is ideally suited to a candidate from a similar background or individuals with technical skills gained as a Paraplanner or File Review Specialist keen to progress this area.

It is essential to have worked in a Financial Adviser office involved with pensions and investment planning.

Diploma Level 4 essential