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Lead Recruitment Consultant (Midlands) - Connecting reputable Financial Planning firms and Financial Service professionals, creating synergy.
Advice Quality and Compliance Manager (Financial Planning)
Lincolnshire
Up to £45,000 DOE + discretionary bonus
Are you an already established Compliance Manager or Paraplanner with a keen eye for compliance?
We are working with a growing, independent financial planning firm based in the East Midlands, part of a wider professional services group looking for an Advice Quality and Compliance Manager integrated with file reviewing. Their team delivers tailored, regulated financial advice with a strong focus on client care, compliance, and integrity. They offer a collaborative culture, ongoing professional development, and the opportunity to be part of a respected and forward-thinking organisation.
Working closely with the Head of Operations, you will oversee all aspects of regulatory compliance, ensuring the business meets and exceeds FCA expectations while promoting a culture of integrity and best practice. In this role, you will be responsible for conducting high-risk and routine advice file reviews, maintaining and monitoring internal compliance policies and procedures, and overseeing the completion of file review actions and competence assessments. You’ll deliver regulatory updates and internal training, certify the competence of new and existing financial planners, and stay on top of industry changes to provide proactive regulatory guidance. Additionally, you’ll lead technical compliance onboarding and support continuous professional development, while working closely with wider teams and management to embed a strong culture of compliance across the business.
About you:
* Previous experience in a compliance role within financial services
* Diploma in Regulated Financial Planning (CII or equivalent) – preferred
* Strong communication, interpersonal, and organisational skills
* Ability to work both independently and collaboratively
On offer:
* Multiple medical and protection benefit options
* Discounted services
* Study and professional development support
Please apply or reach out to Adele at Capio Recruitment for a confidential conversation to learn more about this opportunity.
Seniority level
* Seniority level
Associate
Employment type
* Employment type
Full-time
Job function
* Job function
Finance
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