Compliance Officer

Compliance Officer – Independent Financial Advisors
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