Compliance Officer

Our client is a well-established and respected Independent Financial Adviser (IFA) firm based in Manchester, dedicated to delivering tailored financial advice with integrity and transparency. With a strong focus on client care and regulatory excellence, they are seeking a proactive and detail-oriented Compliance Officer to join their growing team.

The Role:

As a Compliance Officer, you will play a key role in supporting the firm’s adherence to FCA regulations and internal compliance procedures. You’ll work closely with advisers and senior management to ensure their business operates within a compliant framework while maintaining their commitment to excellent client service.

Key Responsibilities:

• Monitor and review adviser files for compliance with FCA rules and internal policies

• Provide clear, practical guidance to advisers and staff on compliance-related matters

• Maintain and develop internal compliance policies and procedures

• Conduct compliance training and briefings for staff

• Assist with regulatory reporting, audits, and liaison with external compliance consultants

• Stay abreast of industry and regulatory developments and interpret implications for the firm

• Support with complaint handling, breaches, and incident investigations

• Prepare compliance reports for management and board meetings

What We’re Looking For:

• Previous experience in a compliance role within an IFA or wealth management environment

• Relevant compliance qualifications (e.g., Level 4 Diploma) are desirable

Due to the high volume of applications received we are unable to respond to everyone directly. If you are not contacted within 7 working days, you have unfortunately not been shortlisted.

Clayton Davies is acting as an employment agency on behalf of our client.