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Financial Services and Compliance Manager at RGH-Global Limited

Position Financial Services and Compliance Manager
Posted 14 Feb 2026
Expired 16 Mar 2026
Company RGH-Global Limited
Location Ulverston | GB
Job Type Full Time

Job Description:

Latest job information from RGH-Global Limited for the position of Financial Services and Compliance Manager. If the Financial Services and Compliance Manager vacancy in Ulverston matches your qualifications, please submit your latest application or CV directly through the updated Jobkos job portal.

Please note that applying for a job may not always be easy, as new candidates must meet certain qualifications and requirements set by the company. We hope the career opportunity at RGH-Global Limited for the position of Financial Services and Compliance Manager below matches your qualifications.

Financial Services and Compliance Manager

Location: Near Ulverston (Hybrid working)

Salary: £40,000+ (flexible dependent on experience)

Overview

An established financial services business is seeking an experienced Financial Services and Compliance Manager to lead its administration and paraplanning function. This is a key operational leadership role responsible for driving service quality, compliance standards, workflow performance and team development.

You will manage day-to-day operations across client servicing, paraplanning and new business processing while working closely with senior stakeholders to ensure consistently high client outcomes and strong regulatory standards.

Key Responsibilities Leadership & Team Management
  • Lead, motivate and develop a team of administrators and paraplanners
  • Deliver regular one-to-ones, performance reviews and structured development plans
  • Build a high-performing, accountable and collaborative team culture
  • Resource plan effectively to manage workloads, peak demand and team capacity
Workflow & Operational Delivery
  • Oversee end-to-end workflows including:

    • Pre-meeting preparation
    • Review packs
    • Post-review actions
    • Client servicing
    • New business processing and onboarding
    • Investment and protection transactions
  • Maintain strong workflow discipline through planning sessions, workload controls and prioritisation
  • Ensure consistent application of procedures, templates and document controls
Paraplanning Oversight
  • Manage prioritisation of research, suitability reports, cashflow modelling and review documentation
  • Carry out quality assurance checks and structured file feedback
  • Support trainee paraplanners with case-based development and progression
Compliance & Risk Management
  • Maintain oversight of regulatory and compliance activities and key deadlines
  • Ensure robust controls across AML, ID verification, fee agreements, disclosures and documentation
  • Conduct file reviews and oversee remediation actions
  • Support regulatory reporting requirements and professional indemnity processes
  • Contribute to ongoing risk management and governance activity
Client & Adviser Support
  • Act as escalation point for complex client queries
  • Maintain strong communication with advisers and stakeholders regarding workflow progress
  • Support consistent, high-quality client service delivery
Management Information & Reporting
  • Produce weekly operational reporting covering workload, turnaround times, service levels and backlog
  • Use data insights to identify risks, bottlenecks and improvement opportunities
  • Maintain team dashboards to improve visibility and performance tracking
Process Improvement & Systems Development
  • Identify inefficiencies and implement process enhancements
  • Standardise documentation and workflows to improve quality and consistency
  • Lead operational change initiatives focused on service delivery and turnaround improvements
Skills & Experience Required Essential
  • Proven leadership experience within financial services, wealth management or IFA operations
  • Strong working knowledge of FCA regulation and compliance frameworks
  • Experience managing operational workflows and service level delivery
  • Proficiency using back-office systems (such as Intelliflo Office) and Excel-based reporting
  • Excellent communication, coaching and stakeholder management skills
Desirable
  • Level 4 Diploma in Financial Planning or paraplanning background
  • Experience improving turnaround times, reducing backlog or driving operational efficiencies
Personal Attributes
  • Highly organised with strong decision-making capability
  • Collaborative leadership style with a coaching mindset
  • Analytical and improvement-focused
  • Calm and professional under pressure
Whats On Offer
  • Hybrid working (following onboarding period)
  • Leadership-level responsibility with real operational influence
  • Opportunity to shape processes and team development
  • Long-term career progression within financial services operations

Job Info:

  • Company: RGH-Global Limited
  • Position: Financial Services and Compliance Manager
  • Work Location: Ulverston
  • Country: GB

How to Submit an Application:

After reading and understanding the criteria and minimum qualification requirements explained in the job information Financial Services and Compliance Manager at the office Ulverston above, immediately complete the job application files such as a job application letter, CV, photocopy of diploma, transcript, and other supplements as explained above. Submit via the Next Page link below.

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