Compliance Manager - IFA firm

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Job Ref: 0017

Salary £40,000 - £65,000 DOE

Hybrid working 

An excellent mentorship opportunity with a West Midlands independent financial advice firm looking to develop a Compliance Manager / Head of.

This role will support day to day compliance function, FCA liaison, line of sight to T&C ops and oversee quality assurance/ file review. 

My client has an excellent reputation as a long standing IFA business providing client centric financial planning services and committed to being a people focused organisation.

Highlights include:

Be an integral part of a well-established directly authorised Financial Services firm

Enjoy day-to-day autonomy with full support from leadership team.

Open to an experienced or aspiring compliance manager seeking a development pathway to Head of Compliance.

Receive excellent 121 mentorship and training from leadership team.

Package completely determined by current experience and development needs with suggested guide salary of £40-65k. 

Hybrid working.

Candidate requirements:

This opportunity is ideally suited to a candidate from a similar background or individuals with technical skills gained as a Paraplanner or in File Review.

It is essential to have worked in a Financial Adviser office involved with pensions and investment planning.

Diploma Level 4 essential