Compliance Officer, Finance & Banking

Compliance Officer – Independent Financial Advisors – West Midlands

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.

• 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

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.

• 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

• 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

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