Compliance and Paraplanning Manager

- Compliance and Paraplanning Manager

- Leeds

- c.£65,000 + Benefits

Our client is a well-established and forward-thinking Independent Financial Adviser (IFA) firm, committed to delivering expert, client-focused financial planning and wealth management services.

As they continue to grow, they are seeking a proactive and detail-oriented Compliance and Paraplanning Manager to lead their compliance function and support the ongoing development of their paraplanning and administration team. This is a key leadership role with responsibility for ensuring regulatory compliance while also driving high-quality financial planning support across the firm.

Role & Responsibilities:

• Maintain and oversee the firm's compliance framework in line with FCA regulations.
• Conduct regular audits, file reviews, and risk assessments to ensure adherence to internal and regulatory standards.
• Keep up to date with industry and regulatory changes, advising the business on implications and implementing necessary changes.
• Manage the relationship with our external compliance support and liaise with the FCA where necessary.
• Oversee and manage the paraplanning team, ensuring consistent quality and compliance in all reports and suitability letters.
• Support the development of financial planning strategies and ensure alignment with client objectives and regulatory requirements.
• Conduct quality checks and provide feedback to enhance paraplanning standards.
• Collaborate closely with advisers and administrators to streamline workflows and improve service delivery.

Do you have the following to apply?

• Proven experience in a compliance or paraplanning leadership role within an IFA or wealth management environment.
• Strong understanding of FCA regulations and financial planning principles.
• Diploma qualified (DipPFS or equivalent) as a minimum

Due to the high volume of applications received we are unable to respond to everyone directly. If you are not contacted within 7 working days, you have unfortunately not been shortlisted.

Clayton Davies is acting as an employment agency on behalf of our client.