Job Description
⭐️ Compliance Officer
Manchester
Competitive Salary
Our client is a well-established and respected Independent Financial Adviser (IFA) firm based in Manchester, dedicated to delivering tailored financial advice with integrity and transparency. With a strong focus on client care and regulatory excellence, they are seeking a proactive and detail-oriented Compliance Officer to join their growing team.
The Role:
As a Compliance Officer, you will play a key role in supporting the firm’s adherence to FCA regulations and internal compliance procedures. You’ll work closely with advisers and senior management to ensure their business operates within a compliant framework while maintaining their commitment to excellent client service.
Key Responsibilities:
* Monitor and review adviser files for compliance with FCA rules and internal policies
* Provide clear, practical guidance to advisers and staff on compliance-related matters
* Maintain and develop internal compliance policies and procedures
* Conduct compliance training and briefings for staff
* Assist with regulatory reporting, audits, and liaison with external compliance consultants
* Stay abreast of industry and regulatory developments and interpret implications for the firm
* Support with complaint handling, breaches, and incident investigations
* Prepare compliance reports for management and board meetings
Do you have the following to apply: ✅
* Previous experience in a compliance role within an IFA or wealth management environment
* Level 4 Diploma in Financial Planning (or equivalent) is essential
Due to the high volume of applications received we are unable to respond to everyone directly. If you are not contacted within 7 working days, you have unfortunately not been shortlisted.
Clayton Davies is acting as an employment agency on behalf of our client.