Compliance Manager, Finance & Banking

Fram is working with a growing financial planning firm that is looking to engage a Compliance Manager to support its advisers, operational teams, and wider business. While compliance sits at the heart of the role, the position is broader than a traditional monitoring function and will suit someone who enjoys improving processes, supporting colleagues, and helping a business operate effectively.

The role involves overseeing compliance policies and procedures, supporting regulatory requirements, and ensuring operational workflows remain consistent and well controlled. There is regular interaction with advisers, paraplanners, and administrators, alongside responsibility for helping maintain standards across the client journey. This may appeal to someone with significant experience within an IFA or wealth management environment who has developed a strong understanding of both compliance and practice management.

Experience implementing compliance processes, supporting operational improvements, and working closely with advisory teams will be important. Strong knowledge of UK financial services regulation and Intelliflo Office is essential. The role suits someone who is organised, commercially aware, hands-on, and comfortable balancing compliance responsibilities with the practical realities of running a successful financial planning business. Applicants must have the right to work in the UK.