Financial Services and Compliance Manager

Financial Services and Compliance Manager

Location: Near Ulverston(Hybrid working)

Salary: £40,000+ (flexible dependent on experience)

An established financial services business is seeking an experienced Financial Services and Compliance Manager to lead its administration and paraplanning function. This is a key operational leadership role responsible for driving service quality, compliance standards, workflow performance and team development.

You will manage day-to-day operations across client servicing, paraplanning and new business processing while working closely with senior stakeholders to ensure consistently high client outcomes and strong regulatory standards.

• Lead, motivate and develop a team of administrators and paraplanners
• Deliver regular one-to-ones, performance reviews and structured development plans
• Build a high-performing, accountable and collaborative team culture
• Resource plan effectively to manage workloads, peak demand and team capacity

• Oversee end-to-end workflows including:
  Pre-meeting preparation, Review packs, Post-review actions, Client servicing, New business processing and onboarding, Investment and protection transactions
• Maintain strong workflow discipline through planning sessions, workload controls and prioritisation
• Ensure consistent application of procedures, templates and document controls

• Manage prioritisation of research, suitability reports, cashflow modelling and review documentation
• Carry out quality assurance checks and structured file feedback
• Support trainee paraplanners with case-based development and progression

• Maintain oversight of regulatory and compliance activities and key deadlines
• Ensure robust controls across AML, , fee agreements, disclosures and documentation
• Conduct file reviews and oversee remediation actions
• Support regulatory reporting requirements and professional indemnity processes
• Contribute to ongoing risk management and governance activity

• Act as escalation point for complex client queries
• Maintain strong communication with advisers and stakeholders regarding workflow progress
• Support consistent, high-quality client service delivery

• Produce weekly operational reporting covering workload, turnaround times, service levels and backlog
• Use data insights to identify risks, bottlenecks and improvement opportunities
• Maintain team dashboards to improve visibility and performance tracking

• Identify inefficiencies and implement process enhancements
• Standardise documentation and workflows to improve quality and consistency
• Lead operational change initiatives focused on service delivery and turnaround improvements

• Proven leadership experience within financial services, wealth management or IFA operations
• Strong working knowledge of FCA regulation and compliance frameworks
• Experience managing operational workflows and service level delivery
• Proficiency using back-office systems (such as Intelliflo Office) and Excel-based reporting
• Excellent communication, coaching and stakeholder management skills

• Level 4 Diploma in Financial Planning or paraplanning background
• Experience improving turnaround times, reducing backlog or driving operational efficiencies

• Highly organised with strong decision-making capability
• Collaborative leadership style with a coaching mindset
• Analytical and improvement-focused
• Calm and professional under pressure

• Hybrid working (following onboarding period)
• Leadership-level responsibility with real operational influence
• Opportunity to shape processes and team development
• Long-term career progression within financial services operations