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 framework


• Providing day-to-day compliance guidance to Advisers and Supervisors


• Conducting file reviews and quality assurance checks


• Monitoring regulatory changes and helping implement required updates


• Supporting training & competence (T&C) schemes


• Assisting with audits, reporting and regulatory documentation


• Working closely with senior leadership on compliance matters


• Contributing to the ongoing development of the compliance function as the business grows

Growth Opportunity

• Clear progression pathway to Head of Compliance within 3-5 years


• Opportunity to take on increasing responsibility as the business expands


• Involvement in strategic decisions and long-term planning


• Potential to build and lead a larger compliance team over time

The Business

• Established and growing financial planning firm


• Currently supporting c.15-20 Advisers, with plans to scale to 50 staff


• Strong presence across North Scotland, with multiple regional offices


• Expansion plans including further growth across key locations in Scotland


• Collaborative and forward-thinking leadership team

Visit 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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