Compliance Officer - Financial Planning

Job summary

Are you an experienced Compliance professional from an IFA environment, looking to grow and develop with a progressing financial planning firm? Established over a decade, this independent financial planning firm provides advice on pensions, investments, mortgages, and protection to clients across the West Midlands. The business is built around making financial advice clear and accessible, with a strong focus on long-term client relationships and high service standards. The firm has experienced steady growth since its formation and operates with a supportive, values-led culture that prioritises integrity, professionalism, and collaboration. It remains committed to investing in its people and maintaining a positive working environment. With a significant level of funds under management and a well-established client base, the company continues to develop its services while maintaining its commitment to regulatory excellence and client care. The business is an equal opportunities employer and welcomes applications from candidates of all backgrounds. The Opportunity An exciting opportunity has arisen for an experienced and suitably qualified Compliance Officer to join a growing firm of Independent Financial Advisers based in the West Midlands. Having recently reached a significant milestone in its development, the business has expanded organically and currently employs a team of seven IFAs, with further growth plans in place over the coming years. This includes expanding operations, recruiting additional advisers, and implementing AI-driven solutions to enhance back-office efficiency. As the firm continues to evolve, maintaining strong governance, compliance, and robust operational processes is a key priority for the leadership team. Key Responsibilities The successful candidate will be responsible for: Keeping up to date with regulatory developments and advising senior management accordingly Conducting compliance monitoring and producing reports Reviewing client files to ensure regulatory compliance Liaising with and submitting required reports to the FCA Maintaining the FCA Register Supporting adviser training and competency frameworks Conducting FIT assessments Reviewing and updating compliance policies Overseeing mandatory training and monitoring CPD requirements Ensuring appropriate levels of Professional Indemnity and Cyber Insurance are maintained Handling, resolving, and reporting complaints Carrying out due diligence as required About You This role is suited to an individual who is progressing toward a Compliance Manager position and has the ambition, experience, and capability to join the senior leadership team. The successful candidate will play a key role in supporting the firm’s continued growth and development within the evolving UK financial services landscape. Key personal attributes include Self-motivated and proactive Highly organised with strong time management skills Excellent interpersonal skills and emotional intelligence Results-driven with a commercial mindset Ability to manage multiple priorities and meet deadlines Strong attention to detail and accuracy Confident, influential, and decisive By applying for this role, you agree that we may hold and process your personal data in line with our Privacy Policy. Further information on how we use your data can be found on our website.