Compliance Officer – Wealth Management
West Midlands | Hybrid Working
Full-time, permanent role (37.5 hours per week)
Hybrid working with flexible arrangements
Salary: £45,000 – £50,000 per annum (dependent on experience and qualifications)
We have an exciting opportunity for a suitably qualified and experienced Compliance Officer to join a growing firm of Independent Financial Advisors based in the West Midlands.
Currently celebrating 10 years in business, the firm has grown organically and now supports a team of 7 IFAs, with ambitious plans for further growth over the coming years. This includes opening additional sites, recruiting more IFAs, and adopting AI-driven solutions to automate back-office processes. Maintaining robust compliance frameworks during this period of change is a key priority.
Key Responsibilities
Maintain up-to-date knowledge of regulatory requirements and advise senior management on changes
Compliance monitoring and reporting
File checking and client file reviews
FCA reporting
Maintaining the FCA Directory
Adviser training and competency oversight
FIT assessments
Policy review and updates
Mandatory training and CPD monitoring
Ensuring adequate insurance cover, including PII and Cyber Security
Complaints handling, resolution, and reporting
Undertaking due diligence
The Right Person
This role is ideal for an individual progressing toward a Compliance Manager position who has the experience, ambition, and drive to join the management team and play a key role in the firm’s continued growth as UK financial services evolve.
The successful candidate will be:
Self-motivated and highly organised
Detail-oriented with strong accuracy
Confident, decisive, and influential
Results-focused
Able to multitask and meet deadlines
Strong in interpersonal skills and emotional intelligence
A professional and effective communicator
Essential Requirements
Minimum 2 years’ experience in an IFA Compliance Officer role
Level 4 Diploma in Regulated Financial Planning (CII or LIBF), or working towards completion
Strong working knowledge of FCA regulations relating to IFA firms
Proficiency in Microsoft Office
Working knowledge of research and provider systems
Professional written and verbal communication skills
Package & Benefits
Full-time, permanent role (37.5 hours per week)
Hybrid working with flexible arrangements
Salary: £45,000 – £50,000 per annum (dependent on experience and qualifications)
Comprehensive employee benefits package following probation, including:
Company pension
Flexitime
Health & wellbeing programme
Private medical insurance
Home working