Up to £80k + Equity Ownership
Are you a Compliance Manager looking for the next big step in your career? My client, a dynamic IFA firm that I’ve had the privilege of working with for several years, is offering an exciting opportunity to join their expanding team as a Compliance Manager, with a clear path to Compliance Director. This role combines the opportunity to take ownership of key compliance functions with the benefit of equity in the business. It’s an ideal position for a driven professional who is ready to help build a start-up company from the ground up, with all the benefits that come with being part of a growing organisation. If you’re looking for an opportunity to make a significant impact and grow with a company, this is the role for you.
In this role, you will oversee all compliance activities, ensuring adherence to FCA regulations, AML requirements, and industry best practices. You will act as SMF16 and SMF17, leading compliance oversight and anti-money laundering efforts. You’ll also develop and implement policies, conduct risk assessments, and maintain comprehensive compliance frameworks. Managing client onboarding processes to ensure KYC and AML standards are met will be part of your responsibilities, along with providing compliance training, guidance, and support across the organisation.
The ideal candidate will have a minimum of 5 years’ compliance experience in wealth management or financial services, along with expertise in FCA regulations, Connex, and mortgage compliance. Strong analytical, communication, and leadership skills are essential, as well as a proactive, detail-oriented approach and a commitment to upholding the highest ethical standards.
In return, the company offers a competitive salary of up to £80k, plus performance-based bonuses, and the unique opportunity for equity ownership. You will be part of a collaborative, supportive environment that values compliance excellence and innovation, with a clear path for career progression and support for professional development.
This is your chance to shape the future of a growing financial advisory firm while advancing your career. If you’re ready to make a lasting impact, contact Joanna at Financial Divisions to learn more about this opportunity.