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