Compliance Officer in Manchester

Job description

⭐ Compliance Officer

Manchester

Competitive Salary

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

Do you have the following to apply: ✅

• Previous experience in a compliance role within an IFA or wealth management environment
• Level 4 Diploma in Financial Planning (or equivalent) is essential

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.

Extra information

Status

Open

Education Level

Secondary School

Location

Manchester

Type of Contract

Part-time jobs

Published at

14-07-2025

Profession type

Accountancy

Full UK/EU driving license preferred

No

Car Preferred

No

Must be eligible to work in the EU

No

Cover Letter Required

No

Languages

English