Job Description

About the Role

We are an independent, FCA-regulated wealth management firm based in Manchester. We are seeking a

Compliance & HR Officer

to take ownership of the firm's compliance framework while also managing core HR and employee onboarding activities.

This is a

hands-on, trusted role

working closely with senior management. It will suit someone who enjoys responsibility, autonomy, and operating in a small, professional business where compliance and people processes need to be practical, proportionate, and well-run.

Key Responsibilities Compliance & Regulatory

Maintain and oversee the firm's compliance framework in line with FCA requirements Monitor compliance with FCA rules including

COBS, SYSC, AML, SM&CR, and Consumer Duty

Act as the main point of contact for compliance-related queries Support FCA interactions, regulatory submissions, and regulatory reporting Maintain and update compliance policies and procedures Conduct compliance monitoring reviews and prepare reports for senior management Track and manage breaches, incidents, and complaints Oversee AML, KYC, and client onboarding from a regulatory perspective Review high-risk clients and escalations Support SM&CR governance, including fitness & propriety assessments

HR & People Operations

Manage day-to-day HR administration and processes Lead

onboarding of new employees

, including contracts, documentation, training coordination, and regulatory checks Maintain employee records and HR documentation Support recruitment processes in coordination with senior management Ensure HR policies and procedures are maintained and compliant with employment regulations Act as a first point of contact for HR-related queries Support performance review processes and staff development initiatives

Skills & Experience

Essential

Experience in a compliance role within

UK financial services

Strong working knowledge of

FCA regulation

, particularly in a wealth management or advisory environment Experience handling HR processes or employee onboarding in a small business Ability to manage multiple responsibilities independently Strong organisational, documentation, and communication skills

Desirable

Experience within

wealth management, IFA, or asset management

Knowledge of

Consumer Duty

requirements HR or compliance qualifications (e.g.

ICA, CISI, CIPD

) or working towards one

What We Offer

Competitive salary (38,000-48,000 DOE) Hybrid working and flexible hours Broad role with genuine responsibility and autonomy Close working relationship with senior leadership Support for professional development and qualifications

Who This Role Is For

This role is ideal for someone who enjoys wearing

both compliance and people-operation hats

in a smaller firm -- someone practical, organised, and comfortable being a trusted internal point of contact.

It is

not

a role for someone looking for a narrow, policy-only compliance position.

Job Types: Full-time, Permanent

Pay: 38,000.00-48,000.00 per year

Benefits:

Company pension Gym membership
Work Location: Hybrid remote in Manchester M4 4BE