Advice Quality & Compliance Manager

Stourbridge / hybrid working

Salary: up to £60,000

A growing financial planning firm is seeking an experienced Advice Quality & Compliance Manager to lead regulatory compliance, advice quality, and risk oversight across the business. This is a pivotal role, ensuring the firm meets its FCA obligations while supporting advisers and staff to operate confidently and compliantly.

Previous experience within Compliance is essential and you will ideally be Level 4 Diploma qualified OR working towards.

The Role

You will:

• Maintain FCA Connect records and support FCA-related requests, thematic reviews, and regulatory initiatives
• Lead Consumer Duty oversight, including Board reporting and monitoring outcomes for clients
• Manage advice quality and file review frameworks, including suitability checks, fee sign-offs, and annual adviser observations
• Act as primary liaison with the Compliance Partner and coordinate the annual compliance audit
• Review and update policies, procedures, due diligence, and introducer arrangements
• Oversee training, competence, and Fit & Proper arrangements for advisers and staff
• Produce management information, adviser KPIs, and internal risk reports
• Manage professional indemnity insurance (PII) and other regulatory-related renewals
• Chair Advice Quality Meetings and provide guidance to advisers and staff, promoting a positive compliance culture
• Stay up to date with regulatory changes, horizon scan, and support implementation of relevant initiatives

Skills & Experience

Essential:

• Strong working knowledge of FCA regulation in a retail advice environment
• Proven experience in advice quality, compliance monitoring, or regulatory oversight
• Ability to interpret regulation and apply it proportionately in practice
• Excellent organisational skills, managing cyclical and reactive workloads
• Confidence engaging with advisers and senior stakeholders

Desirable:

• Experience working with an external Compliance Partner
• Involvement in Consumer Duty implementation and reporting
• Understanding of PI insurance requirements and adviser risk profiling
• Experience of FCA audits, thematic reviews, or regulatory projects

Personal Attributes

• Pragmatic, solutions-focused, and credible under regulatory pressure
• Calm, attentive to detail, and able to balance commercial needs with regulatory integrity
• Trusted adviser to both management and advisers

This role is ideal for someone who thrives at the intersection of compliance, risk, and financial advice quality, and wants to make a real impact across a professional services firm.

Apply today via NJR Recruitment or call quoting the reference NJR16376

Please note: Due to a high volume of applications, candidates who do not meet the essential criteria may not be contacted.