Compliance Manager
A growing and ambitious wealth management firm is seeking a Compliance Manager to support and strengthen its compliance function, with a clear pathway to progress into a Head of Compliance role over the next 3-5 years. This is an excellent opportunity for an experienced compliance professional who is looking to step into a broad, hands-on role while developing into a future leadership position as the business continues to scale.The Role As Compliance Manager, you will play a key role in maintaining and enhancing the firm's regulatory framework, ensuring adherence to FCA requirements while supporting Advisers in delivering high-quality, client-focused financial advice. Key responsibilities include:Supporting the oversight and development of the compliance and risk frameworkProviding day-to-day compliance guidance to Advisers and SupervisorsConducting file reviews and quality assurance checksMonitoring regulatory changes and helping implement required updatesSupporting training & competence (T&C) schemesAssisting with audits, reporting and regulatory documentationWorking closely with senior leadership on compliance mattersContributing to the ongoing development of the compliance function as the business growsGrowth OpportunityClear progression pathway to Head of Compliance within 3-5 yearsOpportunity to take on increasing responsibility as the business expandsInvolvement in strategic decisions and long-term planningPotential to build and lead a larger compliance team over timeThe BusinessEstablished and growing financial planning firmCurrently supporting c.15-20 Advisers, with plans to scale to 50 staffStrong presence across North Scotland, with multiple regional officesExpansion plans including further growth across key locations in ScotlandCollaborative and forward-thinking leadership teamVisit the IDEX Consulting Ltd website for further opportunities. Please note that the information supplied may be retained for up to 10 years for use in connection with future vacancies. For full information on how we use your data, please visit the IDEX Consulting website and view our Privacy Policy.Our Diversity, Equity and Inclusion Mission At IDEX, we strive for an inclusion-first company culture where everyone is treated fairly and can bring their authentic selves to work. We recognise and acknowledge that diverse representation at every level of our business requires continuous and measurable effort. We are committed to driving conscious inclusion across our business and creating equitable pathways.
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