Compliance Manager
MERJE is partnering with a growing Independent Financial Advice firm that is looking to appoint a Compliance Manager to support the business through its next phase of growth.
This is an excellent opportunity for an experienced IFA Compliance professional who enjoys working closely with advisers and senior management, whilst playing a key role in maintaining regulatory standards and supporting business development initiatives.
The successful candidate will join a well-established advice business with ambitious growth plans and a strong client-centric culture.
Key Responsibilities • Monitor and ensure adherence to FCA regulations and internal policies.
- Conduct compliance monitoring reviews, audits, file checks, and risk assessments.
- Manage and support the Training & Competence framework, including FIT assessments.
- Handle complaints, investigations, and regulatory reporting requirements.
- Develop, review, and maintain compliance policies and procedures.
- Provide guidance and support to advisers and management on regulatory matters.
- Liaise with regulators, auditors, and external stakeholders where required.
- Support operational change projects and business growth initiatives from a compliance perspective.
- Conduct due diligence on providers, platforms, and third-party relationships.
- Monitor mandatory training and adviser competence requirements.
- Level 4 Diploma (CII or LIBF) or be close to completion.
- Strong working knowledge of FCA regulations relevant to Financial Advice firms.
- Experience conducting compliance monitoring and file reviews.
- Exposure to Training & Competence frameworks and adviser oversight.
- Excellent written and verbal communication skills.
- Strong organisational skills and attention to detail.
- Complaints handling and investigations.
- Experience supporting business growth or operational change.
- Provider, platform, and third-party due diligence.
- Awareness of PII, cyber insurance, and wider risk management considerations.
- Exposure to AI-driven process improvements within financial services.
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