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Compliance Manager

  • Salary: £30000 - £40000 per annum + Benefits
  • Location: Sutton Coldfield, West Midlands
  • Sector: Compliance
  • Job type: Permanent
  • Date posted:
    11 May 2018
  • Job reference: 30892

Award winning chartered IFA looking to recruit a Compliance Manager to support the Directors in respect of compliance with the FCA rules and other legislative and regulatory requirements.


  • Reading all communications from our compliance consultants
  • Updating our procedures to ensure they remain up to date in respect of changes to our regulatory responsibilities including FCA rules, GDPR, financial crime and any other applicable legislative requirements
  • Monitoring, communicating, training and assessing staff regarding all compliance matters
  • Management reporting - Regular reporting to the Directors and/or the Practice Manager regarding compliance
  • Checking client files to ensure Financial Planners are adhering to our procedures including advice given to clients and client reviews as required in accordance with client agreements
  • Regular meetings with Financial Planners and Financial Planning Analysts regarding compliance including feedback and remedial action needed following client file checks
  • Dealing with client complaints to ensure that our procedures and FCA rules are followed
  • Maintain technical, legislative and product knowledge as needed to effectively achieve the above responsibilities


  • Diploma in Financial Planning (or equivalent) is essential

Knowledge and Skills

  • Good understanding of the FCA rules and other relevant legislation
  • Work is accurate and displays attention to detail
  • Displays client focus at all times
  • Logical, analytical and intelligent
  • Self-motivated
  • Sound understanding of how an IFA practice works including advice and client related services, relevant legislation, products and technical knowledge
  • Good communication and interpersonal skills
  • Good level of IT competence including Microsoft Outlook, Microsoft Word, Microsoft Excel and financial advice back office systems

The successful candidate will be awarded with career development, salary reviews, pension, DIS, health care benefits and flexible working.

Please visit the IDEX Consulting Ltd website for further opportunities. If your application is successful we will contact you to discuss the opportunity in more detail within 2 working days of receiving your application. If your application is unsuccessful, the information supplied may still be retained for use in connection with future vacancies. Due to the overwhelming application response we receive through various sources, should you not hear from us within one week then please assume your application has been unsuccessful.

Our clients include: