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Compliance Manager, Financial Planning and DFM

Key Job Features

Job Type: Permanent
Reference: TX/609
Location: Hampshire
Other: To £62,000 Basic + Benefits


We are working with a dynamic Financial Planning and DFM business with ambitious growth plans over the next 2 years.

Our client is seeking a technically competent, commercial and engaging Compliance Manager to assist them in embedding a robust compliance regime and shaping their plans for business growth.  The role will involve working alongside the Operations Manager, Financial Planners, Directors and support teams to provide guidance whilst assisting in the responsibility of overseeing the firm’s compliance and reporting to the FCA.

This opportunity provides an opportunity to work as part of an expanding business with scope for significant career progression.

You will have experience in an IFA / Wealth Management practice and ideally some experience of DFM, be a minimum of Level 4 qualified and be open and willing to embrace change as the business grows. You will also be comfortable taking on SMF16 and SMF17 responsibilities.

If you are an experienced and dynamic Compliance Manager, with a track record of undertaking all activities necessary to ensure compliance with FCA rules and best practice within a financial planning firm, and are interested in finding out more, please email your CV to 

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