Compliance Manager / Paraplanner

Compliance Manager & Paraplanner

Location: Glasgow (Hybrid)

Contract: Full-time

Industry: Financial Planning / Wealth Management

A very competitive negotiable package is on offer. Details on request.

Are you an experienced compliance professional with strong paraplanning expertise?

Do you thrive in a role where accuracy, oversight, and high-quality client outcomes truly matter?

This award-winning Wealth Manager is looking for a talented Compliance Manager & Paraplanner to join it’s growing financial planning team.

Compliance Manager / Paraplanner – About the Role:

In this dual-position, you will play a critical part in ensuring our firm delivers compliant, robust, and client-centric financial advice. You will manage and enhance our compliance framework while supporting advisers and paraplanners with high-quality technical research and report writing.

Compliance Manager / Paraplanner – Key Responsibilities:
• Lead and maintain the firm’s regulatory compliance program in line with FCA requirements
• Conduct file checks, audit processes, and ongoing risk assessments
• Develop and review internal policies, procedures, and T&C frameworks
• Provide technical research and prepare detailed suitability reports
• Support advisers with cashflow modelling, product research, and compliance guidance
• Monitor regulatory changes and ensure timely implementation across the business
• Promote a culture of ethical, compliant, high-quality advice delivery

Compliance Manager / Paraplanner – About You:
• Proven experience in compliance management within a financial planning or wealth management environment
• Strong paraplanning background with excellent report-writing skills
• Detailed understanding of FCA regulations and financial planning processes
• Level 4 Diploma qualified (Level 6/Chartered desirable but not essential)
• Highly analytical, organised, and able to communicate complex information clearly
• Proactive, solutions-focused, and confident supporting both advisers and senior leadership

What Is on Offer:
• Competitive salary and benefits package
• Career development opportunities, including support toward advanced qualifications
• A collaborative, professional, and dynamic working environment
• The chance to influence and improve compliance standards across the business