* 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
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
* 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
* 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:
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