Financial Services and Compliance Manager
Location: Near Ulverston (Hybrid working)
Salary: £40,000+ (flexible dependent on experience)
Overview
An established financial services business is seeking an experienced Financial Services and Compliance Manager to lead its administration and paraplanning function. This is a key operational leadership role responsible for driving service quality, compliance standards, workflow performance and team development.
You will manage day-to-day operations across client servicing, paraplanning and new business processing while working closely with senior stakeholders to ensure consistently high client outcomes and strong regulatory standards.
Key Responsibilities
Leadership & Team Management
* Lead, motivate and develop a team of administrators and paraplanners
* Deliver regular one-to-ones, performance reviews and structured development plans
* Build a high-performing, accountable and collaborative team culture
* Resource plan effectively to manage workloads, peak demand and team capacity
Workflow & Operational Delivery
* Oversee end-to-end workflows including:
o Pre-meeting preparation
o Review packs
o Post-review actions
o Client servicing
o New business processing and onboarding
o Investment and protection transactions
* Maintain strong workflow discipline through planning sessions, workload controls and prioritisation
* Ensure consistent application of procedures, templates and document controls
Paraplanning Oversight
* Manage prioritisation of research, suitability reports, cashflow modelling and review documentation
* Carry out quality assurance checks and structured file feedback
* Support trainee paraplanners with case-based development and progression
Compliance & Risk Management
* Maintain oversight of regulatory and compliance activities and key deadlines
* Ensure robust controls across AML, ID verification, fee agreements, disclosures and documentation
* Conduct file reviews and oversee remediation actions
* Support regulatory reporting requirements and professional indemnity processes
* Contribute to ongoing risk management and governance activity
Client & Adviser Support
* Act as escalation point for complex client queries
* Maintain strong communication with advisers and stakeholders regarding workflow progress
* Support consistent, high-quality client service delivery
Management Information & Reporting
* Produce weekly operational reporting covering workload, turnaround times, service levels and backlog
* Use data insights to identify risks, bottlenecks and improvement opportunities
* Maintain team dashboards to improve visibility and performance tracking
Process Improvement & Systems Development
* Identify inefficiencies and implement process enhancements
* Standardise documentation and workflows to improve quality and consistency
* Lead operational change initiatives focused on service delivery and turnaround improvements
Skills & Experience Required
Essential
* Proven leadership experience within financial services, wealth management or IFA operations
* Strong working knowledge of FCA regulation and compliance frameworks
* Experience managing operational workflows and service level delivery
* Proficiency using back-office systems (such as Intelliflo Office) and Excel-based reporting
* Excellent communication, coaching and stakeholder management skills
Desirable
* Level 4 Diploma in Financial Planning or paraplanning background
* Experience improving turnaround times, reducing backlog or driving operational efficiencies
Personal Attributes
* Highly organised with strong decision-making capability
* Collaborative leadership style with a coaching mindset
* Analytical and improvement-focused
* Calm and professional under pressure
Whats On Offer
* Hybrid working (following onboarding period)
* Leadership-level responsibility with real operational influence
* Opportunity to shape processes and team development
* Long-term career progression within financial services operations