Compliance Officer (Financial Planning)
Birmingham Area
Salary: £50,000 (dependent on experience & qualifications)
Contract: Full-time, Permanent (37.5 hours per week)
Working Pattern: Hybrid with flexible working arrangements
CII Level 4 Qualified as a Min


The Opportunity
An exciting opportunity has arisen for an experienced Compliance Officer to join a growing and forward-thinking Independent Financial Advice firm based in Birmingham. This business has experienced strong organic growth since its formation and is entering an ambitious phase of expansion, including adviser growth, additional locations, and the adoption of new technologies to enhance operational efficiency.


Our Client are a growing Independent Financial Planning organisation who have built an excellent reputation within the industry for providing bespoke advice to high-net-worth individuals,


This role is ideal for a Compliance professional who is progressing towards a Compliance Manager position and is keen to play a key role within a management team, helping to ensure robust governance, regulatory oversight and best practice during a period of change.


Key Responsibilities
*Keep up to date with FCA regulations and advise senior management on regulatory changes
*Carry out compliance monitoring, reporting and client file reviews
*Maintain and manage the FCA Register and Directory
*Handle FCA reporting and regulatory submissions
*Support Adviser Training & Competency (T&C) framework
*Conduct Fit & Proper (FIT) assessments
*Review and maintain internal compliance policies and procedures
*Oversee mandatory training and CPD monitoring
*Ensure appropriate insurance cover is in place, including PII and Cyber Security
*Manage complaints handling, resolution and reporting
*Undertake due diligence across products, providers and processes


About You
This role would suit a confident, driven and highly organised Compliance professional with a strong understanding of IFA regulatory requirements and a desire to develop into a senior compliance leadership position.
Key Attributes
*Self-motivated and results-focused
*Highly organised with excellent attention to detail
*Strong interpersonal skills and emotional intelligence
*Confident, influential and decisive
*Ability to multitask, prioritise and meet deadlines
*Professional and credible communicator


Skills, Experience & Qualifications
Essential
*Minimum 2 years’ experience in an IFA Compliance Officer role
*Level 4 Diploma in Regulated Financial Planning (CII or LIBF), or close to completion
*Strong working knowledge of FCA regulations relevant to IFA firms
*Experience checking adviser files and monitoring advice quality
*Proficient in Microsoft Office
*Working knowledge of research tools and provider systems
*Excellent written and verbal communication skills


What’s on Offer
*Salary up to £50,000 depending on experience and qualifications
*Hybrid and flexible working
*Opportunity to progress towards a Compliance Manager role
*Involvement in business growth, systems development and innovation
*Supportive, values-driven culture
*Comprehensive employee benefits package following probation


Apply today via NJR Recruitment or call quoting the reference NJR16434
Please note: Due to a high volume of applications, if your CV does not reflect the essential requirements, or you answer ’no’ to key screening questions, we may not be able to contact you.