Compliance Officer / Compliance Manager Financial Planning / Wealth Management Birmingham | Hybrid Working An established and growing independent financial planning firm in the West Midlands is seeking a Compliance Officer to support the business during continued growth. Key Responsibilities Monitor FCA regulatory requirements and advise senior management Compliance monitoring, risk assessments and reporting Oversight of client file reviews (high-risk in-house; low-risk outsourced) FCA reporting and maintenance of the FCA Directory Adviser Training & Competency, FIT assessments and CPD oversight Policy and procedure review Oversight of PII, cyber insurance and complaints handling Due diligence on providers and third parties Skills & Experience : Minimum 2 years’ experience in a Compliance Officer role within an IFA / wealth management environment Strong working knowledge of FCA regulations applicable to IFA firms Experience of compliance monitoring, file reviews and regulatory reporting Level 4 diploma in financial planning qualification (or working towards)