Financial Services and Compliance Manager

Financial Services and Compliance Manager

Location: Near Ulverston (Hybrid working)

Salary: 40000 (flexible dependent on experience)

Overview

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.

Key Responsibilities

Leadership & Team Management

• 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

Workflow & Operational Delivery

• 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

Paraplanning Oversight

• 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

Compliance & Risk Management

• Maintain oversight of regulatory and compliance activities and key deadlines

• Ensure robust controls across AML ID verification 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

Client & Adviser Support

• 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

Management Information & Reporting

• 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

Process Improvement & Systems Development

• 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

Skills & Experience Required

Essential

• 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

Desirable

• Level 4 Diploma in Financial Planning or paraplanning background

• Experience improving turnaround times reducing backlog or driving operational efficiencies

Personal Attributes

• Highly organised with strong decision-making capability

• Collaborative leadership style with a coaching mindset

• Analytical and improvement-focused

• Calm and professional under pressure

Whats On Offer

• 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