Compliance Manager

Description:

BWD Search & Selection is seeking a dynamic Operations and Compliance Manager for a reputable, values-driven financial advice firm based in Leeds. This firm blends the stability of long-standing leadership with a progressive and forward-looking approach to financial services. The role presents an opportunity to actively shape the operational and compliance framework of a growing organization during a pivotal phase of transformation.

In this role, you'll act as the operational linchpin between compliance and business strategy, ensuring robust internal systems that are practical, efficient, and people-focused—not bogged down by bureaucracy.

Key Responsibilities:

• Lead and manage daily compliance functions and regulatory responsibilities, including risk reviews, complaints handling, and supporting SMF16/17 (Senior Management Function roles)

• Oversee paraplanning and administrative teams, ensuring workflow efficiency, output quality, and compliance with service level agreements

• Develop and implement practical, value-driven operational and compliance processes

• Monitor regulatory updates and revise internal policies, including T&C frameworks and advice models, while delivering relevant training to staff

• Act as a strategic bridge between compliance, operations, and commercial objectives to promote a strong compliance culture and drive business improvements

Candidate Requirements:

• Level 4 Diploma qualified (DipFA / DipPFS)

• Proven experience in IFA compliance with a confident, leadership-oriented approach

• Strong understanding of efficient operations in financial services settings

• A solutions-oriented mindset with a passion for proactive change

• Desire to help build and shape the future direction of the firm, not just maintain existing systems

What You’ll Gain:

• A real sense of ownership and influence in shaping company direction

• Supportive leadership with integrity and a collaborative, low-ego culture

• Flexible work environment with long-term vision

• Recognition based on initiative and contribution, not office politics