Compliance and Operations Manager - Leeds
- Our client is a national IFA firm who are looking for an experienced Compliance and Operations Manager to join the business. This is an important role that combines regulatory oversight with operational leadership, ensuring both FCA compliance and the effective delivery of support functions across paraplanning and administration. This is a key position to maintain regulatory integrity, enhance quality assurance, and drive continuous improvement in service delivery.
Support the development and implementation of comprehensive compliance policies and procedures throughout the organisation such as T&C, advice framework, horizon scanning, etc.
Line manage the paraplanning and administration teams, ensuring alignment with regulatory expectations and internal standards.
Conduct quality reviews of paraplanning and administration outputs to ensure suitability and consistency.
Act as the central point for resolving operational and compliance-related queries.
Maintain and improve operational processes to support business growth and adviser productivity.
Conduct regular audits and risk assessments to identify potential areas of compliance vulnerability and risk; Provide advice and guidance on the interpretation of regulatory requirements and their implications for business operations.
Conduct compliance training sessions for employees to ensure company-wide awareness and understanding of compliance policies and regulatory requirements.
Manage and report on the handling of complaints in accordance with FCA guidelines, ensuring effective resolution.
Support all communications and reporting requirements with the FCA and other regulatory bodies.
Act as liaison and maintain effective relationships with third party compliance support services.
Embed and support a compliance culture within the organisation and contribute to strategic planning from a regulatory perspective.
Minimum Level 4 Diploma in Financial Planning (or equivalent)
Previous Compliance experience in an IFA firm.