Compliance Officer

CompanyBroadgate

LocationBirmingham, England, United Kingdom

Posted At3/5/2026

UK Visa Sponsorship Analytics

Occupation Type

Quality assurance and regulatory professionals

Occupation Code Skill LevelHigher Skilled

Sponsorship Salary Threshold

£48,200 (£24.72 per hour)

Occupation rate applies

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Description

Compliance Officer / Compliance Manager
Financial Planning / Wealth Management
Birmingham | Hybrid Working

An established and growing independent financial planning firm in the West Midlands is seeking a Compliance Officer to support the business during continued growth.

Key Responsibilities

Monitor FCA regulatory requirements and advise senior management
Compliance monitoring, risk assessments and reporting
Oversight of client file reviews (high-risk in-house; low-risk outsourced)
FCA reporting and maintenance of the FCA Directory
Adviser Training & Competency, FIT assessments and CPD oversight
Policy and procedure review
Oversight of PII, cyber insurance and complaints handling
Due diligence on providers and third parties

Skills & Experience:

Minimum 2 years’ experience in a Compliance Officer role within an IFA / wealth management environment
Strong working knowledge of FCA regulations applicable to IFA firms
Experience of compliance monitoring, file reviews and regulatory reporting
Level 4 diploma in financial planning qualification (or working towards)