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.

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.

• 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

• 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

• 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.

• 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.