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Compliance Officer

Job Posted: 11 hours ago

Salary: £ 45,000 - 50,000 / Annum
Job Type: Permanent
Location: Birmingham

Expire in: a month

Job Description

Compliance Officer – Wealth Management 

 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

Before You Apply

Do not include the following in your job application, CV, or cover letter:

Bank details.
National Insurance number.
Date of birth.

You should not be asked for payment or irrelevant information. If you have concerns about a job advert or employer, seek guidance on how to proceed.

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