MERJE
IFA Compliance Manager (12-Month FTC)
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We're working with a well-established, financial services business that is looking to appoint an experienced Compliance Manager on an initial 12-month fixed-term contract.
This is an excellent opportunity to join a growing firm supporting them while they undergo a period of growth. You’ll play a key role in ensuring the organisation operates in accordance with all applicable regulatory requirements and industry best practice. You’ll provide expert guidance to stakeholders, oversee compliance monitoring activities and contribute to the compliance framework.
Key Responsibilities
- Support the development, implementation and maintenance of the firm’s compliance framework, policies and procedures
- Monitor regulatory developments and assess their impact on the business
- Conduct compliance monitoring reviews, file reviews and thematic assessments
- Provide regulatory advice and guidance
- Assist with regulatory reporting
- Review and respond to complaints in line with our complaints procedure
- Oversee compliance risk assessments and provide mitigation advice
- Support the delivery of training on compliance and professional standards
- Investigate compliance breaches and manage client complaints
- Prepare compliance and MI reports for the Board
- Promote a positive compliance culture
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To be Considered
- Essential: Level 4 Diploma in Financial Planning (or equivalent)
- Proven experience in a Compliance Manager or senior compliance role within the Financial Services sector
- Strong grasp of FCA rules and financial advice standards.
- Experience conducting compliance monitoring and risk assessments
- Excellent understanding of compliance frameworks, governance, and risk management
- Strong analytical and problem-solving skills
- Ability to interpret complex regulatory requirements and translate them into practical business solutions
- Analytical with exceptional attention to detail and communication skills.
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Applicants must be located and eligible to work in the UK without sponsorship.
Please note, should feedback not be received within 28 days, unfortunately your application has been unsuccessful. In applying for this role, you may be registered on our database so we can contact you about suitable opportunities in future. Your data will be managed in accordance with our Privacy Policy, which can be found on our website.
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