Job Title

Compliance OfficerIncrease your chances of an interview by reading the following overview of this role before making an application. Manchester c.50,000 + BenefitsOur 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 firms adherence to FCA regulations and internal compliance procedures. Youll 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 policiesProvide clear, practical guidance to advisers and staff on compliance-related mattersMaintain and develop internal compliance policies and proceduresConduct compliance training and briefings for staffAssist with regulatory reporting, audits, and liaison with external compliance consultantsStay abreast of industry and regulatory developments and interpret implications for the firmSupport with complaint handling, breaches, and incident investigationsPrepare compliance reports for management and board meetingsDo you have the following to apply: Previous experience in a compliance role within an IFA or wealth management environmentRelevant compliance qualifications (e.g., Level 4 Diploma) are desirableDue 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.