Compliance Officer

Compliance Officer – Wealth Management

West Midlands | Hybrid Working

• Full-time, permanent role (37.5 hours per week)

• Hybrid working with flexible arrangements

• Salary: £45,000 – £50,000 per annum (dependent on experience and qualifications)

We have an exciting opportunity for a suitably qualified and experienced Compliance Officer to join a growing firm of Independent Financial Advisors based in the West Midlands.

Currently celebrating 10 years in business, the firm has grown organically and now supports a team of 7 IFAs, with ambitious plans for further growth over the coming years. This includes opening additional sites, recruiting more IFAs, and adopting AI-driven solutions to automate back-office processes. Maintaining robust compliance frameworks during this period of change is a key priority.



Key Responsibilities

• Maintain up-to-date knowledge of regulatory requirements and advise senior management on changes

• Compliance monitoring and reporting

• File checking and client file reviews

• FCA reporting

• Maintaining the FCA Directory

• Adviser training and competency oversight

• FIT assessments

• Policy review and updates

• Mandatory training and CPD monitoring

• Ensuring adequate insurance cover, including PII and Cyber Security

• Complaints handling, resolution, and reporting

• Undertaking due diligence

The Right Person

This role is ideal for an individual progressing toward a Compliance Manager position who has the experience, ambition, and drive to join the management team and play a key role in the firm’s continued growth as UK financial services evolve.

The successful candidate will be:

• Self-motivated and highly organised

• Detail-oriented with strong accuracy

• Confident, decisive, and influential

• Results-focused

• Able to multitask and meet deadlines

• Strong in interpersonal skills and emotional intelligence

• A professional and effective communicator

Essential Requirements

• Minimum 2 years’ experience in an IFA Compliance Officer role

• Level 4 Diploma in Regulated Financial Planning (CII or LIBF), or working towards completion

• Strong working knowledge of FCA regulations relating to IFA firms

• Proficiency in Microsoft Office

• Working knowledge of research and provider systems

• Professional written and verbal communication skills

Package & Benefits

• Full-time, permanent role (37.5 hours per week)

• Hybrid working with flexible arrangements

• Salary: £45,000 – £50,000 per annum (dependent on experience and qualifications)

• Comprehensive employee benefits package following probation, including:
  
  
  • Company pension
  
  
  • Flexitime
  
  
  • Health & wellbeing programme
  
  
  • Private medical insurance
  
  
  • Home working