Compliance Manager

Compliance Manager

Financial Planning Firm | South Birmingham | Hybrid Working

An established and growing Financial Planning firm based in South Birmingham is seeking an experienced Compliance Manager to join the business following the departure of a long-standing incumbent of six years.

This is a key hire for the firm and offers genuine longer-term progression, with scope to take on increased responsibility and potentially step into an SMF function as the business continues to grow.

The firm has been established for 10 years, employs around 20 staff, and has a strong compliance culture, having recently passed a SimplyBiz audit with no issues identified.

The Role

Working closely with the Director, advisers and SimplyBiz, the Compliance Manager will have responsibility for the day-to-day oversight of the firm’s compliance framework, ensuring regulatory requirements are met while supporting the continued growth of the business.

Key responsibilities include:

• Oversight of adviser T&Cs

• Regulatory reporting and FCA compliance requirements

• Ensuring ongoing adherence to Consumer Duty

• Oversight of external file checking and remediation where required

• Provider due diligence

• Governance, oversight and ongoing suitability of the firm’s Centralised Investment Proposition (CIP)

• Playing a key role in the ongoing development and governance of the CIP, working closely with advisers and external compliance partners to ensure suitability, robustness and regulatory alignment

• Reporting directly to the Director

• Management and enhancement of sales-related processes and procedures

• Working closely with SimplyBiz, utilising their compliance framework, templates and regulatory updates

The Business

• 20 staff including Independent Financial Advisers, Paraplanners, back-office and support staff

• Plans to recruit additional advisers as the firm grows

• Strong, established compliance framework and supportive working environment

The Ideal Candidate

• An experienced Compliance Manager or Senior Compliance professional ready to step up

• Strong working knowledge of FCA regulation within a financial advice environment

• Confident overseeing adviser activity, regulatory reporting and Consumer Duty

• Comfortable working collaboratively with advisers and senior management

• Someone seeking stability, influence and clear progression over the medium to long term

• Based within reasonable commuting distance of South Birmingham

Salary and Benefits

• Salary of £45,000 to £50,000 depending on experience. Potentially negotiable for the right person

• Clear scope for future salary growth aligned with progression

• Hybrid working with 1 to 2 days per week in the office, with flexibility (2 days preferred)

• Pension contribution

• Private Medical Insurance

• Cash plan

• Flexible working and time in lieu, allowing employees to build additional holiday

Why Apply

This is an excellent opportunity to join a stable, growing firm with a strong compliance culture, a clean regulatory history and a genuine long-term plan for its compliance function. The role offers influence, flexibility and progression without the instability often seen in growing advice businesses.

Sector:

1. Financial Services
2. Financial Planning