Job Description
Compliance & Operations Manager - Financial Planning Firm
Leeds - Office BasedUp to £65,000 + Annual Bonus
Must hold Level 4 Diploma in Regulated Financial Planning
Are you a compliance professional with strong leadership skills and a background in financial planning operations? NJR Recruitment is exclusively working on an exciting opportunity to join a growing independent financial advice business in central Leeds as a Compliance & Operations Manager.
This is a hands-on leadership role managing a team of 7 paraplanners and administrators, ensuring the business meets its regulatory responsibilities while supporting adviser productivity and operational efficiency.
The Role:
You will be responsible for the day-to-day leadership of back-office operations and the compliance function, working closely with the directors to deliver excellent outcomes for clients, staff, and regulators.
Key Responsibilities Include:
* Overseeing the compliance monitoring programme, advice framework, and regulatory policy updates
* Line managing a team of paraplanners and administrators, ensuring workflow efficiency and service standards
* Conducting quality reviews and audits, and supporting regulatory submissions and FCA communications
* Acting as the central point of contact for compliance queries and operational escalations
* Embedding a culture of compliance and continuous improvement
* Supporting complaints handling, T&C, training delivery, and risk management
* Monitoring SLAs and KPIs across support functions and ensuring process improvements align with business growth
Who We’re Looking For:
* Diploma (Level 4) qualified - essential
* Strong understanding of FCA regulation, advice frameworks, and advice firm operations
* Experience as a Compliance Manager, Operations Manager or Compliance Officer within an IFA/wealth management business
* Experience managing staff and delivering on team objectives
* Excellent organisational and communication skills
* A proactive, leadership-focused mindset with a high attention to detail
What’s on Offer:
* Salary up to £65,000 + Annual Bonus
* 25 days holiday + bank holidays (with increases for service)
* 4pm finish on Fridays
* 5% employer pension contribution
* Private healthcare & employee assistance programme
* Ongoing professional development support
* Flexible benefits including holiday purchase scheme
* Smart/casual dress code & regular social events
?? If you’re a Level 4 qualified compliance leader looking to make a real impact in a collaborative and forward-thinking advice firm — we’d love to hear from you.
Apply now or contact NJR Recruitment for a confidential conversation quoting NJR15826
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