Compliance Manager, Finance & Banking

Compliance Manager/Head of Operations

📍 Taunton
💼 IFA Practice Management
💰 £60,000 to £70,000 DOE+ benefits

Hybrid - whilst home working can be supported, there is an expectation for a higher level of weekly office attendance

We're working with a highly regarded Independent Financial Advisory firm with c. £600m AUM, strong links to a well‑known accountancy practice, and a reputation for delivering high‑quality, holistic financial planning. As the business scales up, they're looking to appoint an experienced individual to help take the firm to the next level.

The Opportunity

This is a hands‑on leadership role working closely with the management team. You'll be accountable to assist the business in meeting its compliance and regulatory responsibilities, to ensure the smooth, compliant, and efficient delivery of advice while supporting long‑term growth and scalability. Primary focus is on compliance, with a keen interest in operational excellence and client experience.

Please note this person MUST have extensive, direct experience within an IFA (Independent Financial Adviser) business.

Key Responsibilities

Compliance & Risk

Work closely with the Compliance Officer to ensure FCA compliance
Maintain robust internal controls and procedures
Oversee audit readiness and regulatory reporting
Embed Consumer Duty principles across operations
Complaints handling
T&C across the business
File reviews
Liaise with the management team on process
FCA reporting

Strategic and Operational Support

Monitor operational KPIs and MI
Support strategic growth initiatives (including scaling and acquisitions)
Provide support to the operation teams on projects and initiatives
Contribute to the development of client proposition and experience
Maintain and log employee records

About You

Essential

Significant experience within an IFA / wealth management environment
Strong understanding of UK financial services regulation
IFA practice leadership and management experience
In‑depth knowledge of IFA operational workflows
Have worked with and implemented compliance policies
Highly organised, commercially aware, and solutions‑focused
Strong working experience with Intelliflo Office
Demonstrable operational management and leadership experience within the financial planning sector.
Hands-on management approach; must be willing and able to implement as well as lead.

Desirable

Chartered status or relevant professional qualifications

Experience with platforms such as Aviva, Quilter, or similar

Please be aware this advert will remain open until the vacancy has been filled. Interviews will take place throughout this period, therefore we encourage you to apply early to avoid disappointment.

Tate is acting as an Employment Business in relation to this vacancy.

Tate is committed to promoting equal opportunities. To ensure that every candidate has the best experience with us, we encourage you to let us know if there are any adjustments we can make during the application or interview process. Your comfort and accessibility are our priority, and we are here to support you every step of the way. Additionally, we value and respect your individuality, and we invite you to share your preferred pronouns in your application