Senior Financial Planning Compliance Officer (DipFA)
other jobs NJR Recruitment
Added before 8 hours
- England,North West,Greater Manchester
- Full Time, Permanent
- £45,000 - £60,000 per annum
Job Description:
Senior Financial Planning Compliance Officer (DipFA)
Location: Manchester City Centre
Salary: £45,000–£60,000
About the Role
We are seeking an experienced and highly skilled Senior Compliance Officer to join our expanding financial services business in Ancoats. This pivotal role involves maintaining and enhancing the suitability and compliance of advice across the firm, supporting advisers, paraplanners, and senior management, and ensuring regulatory standards are consistently met.
This is a great opportunity for a Level 4 qualified professional with a strong compliance background who wants to contribute to a proactive, supportive, and fast-paced environment.
Key Responsibilities
*Conduct file checks to assess the suitability of advice
*Perform call checks to ensure compliance and quality of client interactions
*Assess vulnerability characteristics and determine necessary support measures
*Deliver constructive feedback to advisers, paraplanners, and management
*Liaise with the Compliance Director on individual cases and assist in developing, implementing, and monitoring compliance policies and procedures
*Communicate with clients via telephone or email when required, resolving issues before escalation
*Provide ad-hoc compliance support to various departments across the business
*Ensure strict adherence to FCA regulations, legislation, and internal policies
Requirements
*Level 4 Diploma in Regulated Financial Planning (CII)
*Minimum 3 years’ experience in compliance or a similar financial services department
*Strong understanding of FCA regulations and compliance requirements for IFA firms
*Excellent attention to detail and analytical skills
*Confident in delivering feedback and guiding teams on compliance matters
*Strong interpersonal and communication skills
Apply today via NJR Recruitment or call quoting the reference NJR16458
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.
Location: Manchester City Centre
Salary: £45,000–£60,000
About the Role
We are seeking an experienced and highly skilled Senior Compliance Officer to join our expanding financial services business in Ancoats. This pivotal role involves maintaining and enhancing the suitability and compliance of advice across the firm, supporting advisers, paraplanners, and senior management, and ensuring regulatory standards are consistently met.
This is a great opportunity for a Level 4 qualified professional with a strong compliance background who wants to contribute to a proactive, supportive, and fast-paced environment.
Key Responsibilities
*Conduct file checks to assess the suitability of advice
*Perform call checks to ensure compliance and quality of client interactions
*Assess vulnerability characteristics and determine necessary support measures
*Deliver constructive feedback to advisers, paraplanners, and management
*Liaise with the Compliance Director on individual cases and assist in developing, implementing, and monitoring compliance policies and procedures
*Communicate with clients via telephone or email when required, resolving issues before escalation
*Provide ad-hoc compliance support to various departments across the business
*Ensure strict adherence to FCA regulations, legislation, and internal policies
Requirements
*Level 4 Diploma in Regulated Financial Planning (CII)
*Minimum 3 years’ experience in compliance or a similar financial services department
*Strong understanding of FCA regulations and compliance requirements for IFA firms
*Excellent attention to detail and analytical skills
*Confident in delivering feedback and guiding teams on compliance matters
*Strong interpersonal and communication skills
Apply today via NJR Recruitment or call quoting the reference NJR16458
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.
Job number 3426522
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Company Details:
NJR Recruitment
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