Compliance Manager

A leading national Independent Financial Advisory (IFA) firm is looking for an experienced Compliance Manager to provide maternity cover for 9 months. This is a fantastic opportunity to join a well-established and growing financial planning business, working closely with senior leadership and ensuring regulatory excellence across the firm.

The Role

Reporting directly to the CEO, you will play a key role in maintaining and enhancing the firm's compliance framework. Key responsibilities include:

1. Managing the compliance framework to ensure regulatory adherence and best practice.
2. Oversight of file reviews (working alongside an outsourced partner).
3. Leading a compliance audit scheduled for Q3, ensuring all regulatory requirements are met.
4. Acting as a key compliance advisor to the leadership team.
5. Providing compliance guidance and support across the business.

To be successful in this role, you must have:

1. Financial planning/IFA compliance experience - a strong understanding of the regulatory landscape.
2. Level 4 Diploma in Financial Planning (or working towards it) - highly desirable.
3. Experience in managing compliance frameworks and audits.
4. The ability to work independently and advise senior stakeholders.

Visit the IDEX Consulting Ltd website for further opportunities.