Advice Quality and Compliance Manager (Financial Planning)

Advice Quality and Compliance Manager (Financial Planning)

Lincolnshire

Up to £45,000 DOE + discretionary bonus

Are you an already established Compliance Manager or Paraplanner with a keen eye for compliance?

We are working with a growing, independent financial planning firm based in the East Midlands, part of a wider professional services group looking for an Advice Quality and Compliance Manager integrated with file reviewing. Their team delivers tailored, regulated financial advice with a strong focus on client care, compliance, and integrity. They offer a collaborative culture, ongoing professional development, and the opportunity to be part of a respected and forward-thinking organisation.

Working closely with the Head of Operations, you will oversee all aspects of regulatory compliance, ensuring the business meets and exceeds FCA expectations while promoting a culture of integrity and best practice. In this role, you will be responsible for conducting high-risk and routine advice file reviews, maintaining and monitoring internal compliance policies and procedures, and overseeing the completion of file review actions and competence assessments. You’ll deliver regulatory updates and internal training, certify the competence of new and existing financial planners, and stay on top of industry changes to provide proactive regulatory guidance. Additionally, you’ll lead technical compliance onboarding and support continuous professional development, while working closely with wider teams and management to embed a strong culture of compliance across the business.

About you:

• Previous experience in a compliance role within financial services
• Diploma in Regulated Financial Planning (CII or equivalent) - preferred
• Strong communication, interpersonal, and organisational skills
• Ability to work both independently and collaboratively

On offer:

• Competitive pension contributions
• Hybrid working
• 27 days holiday + buy/sell scheme
• Multiple medical and protection benefit options
• Discounted services
• Study and professional development support