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- Tasks: Lead compliance strategy and ensure regulatory alignment in a dynamic financial services firm.
- Company: Join a modern, forward-thinking financial services firm committed to innovation and growth.
- Benefits: Enjoy a permanent role with opportunities for professional development and a supportive work culture.
- Why this job: Make a real impact on compliance processes while working in a fast-paced, evolving environment.
- Qualifications: Must have a Level 4 Diploma in Financial Planning and strong regulatory knowledge, especially in pensions.
- Other info: Feedback may take up to 28 days; alternative formats available upon request.
The predicted salary is between 43200 - 72000 £ per year.
Our client, a forward-thinking and modern financial services firm are looking for a Senior Compliance Manager to join the team on a permanent basis. As Senior Compliance Manager you will be responsible for overseeing and developing all aspects of regulatory compliance across the business. This includes ensuring the policies and processes remain fully aligned with FCA requirements as they scale and adapt.
Role Responsibilities:
- Oversee and manage the firm’s compliance framework and strategy
- Conduct and manage file reviews and quality assurance checks
- Handle FCA reporting (monthly and annual returns)
- Maintain day-to-day regulatory compliance across the business
- Conduct AML checks, including PEPs, SIPs, and RCA
- Maintain and update compliance policies and procedures
- Provide ongoing compliance training to staff (annual and ad hoc)
- Ensure the business remains compliant through operational and structural changes
- Identify and implement improvements in compliance processes
- Provide guidance and support to the wider team on regulatory matters
Key Skills & Experience:
- Level 4 Diploma in Financial Planning (or equivalent)
- Strong technical knowledge of regulatory frameworks within financial services, ideally within the Pensions sector.
- Demonstrated passion for pensions and financial planning
- Experience within a compliance function, ideally in a growing or dynamic business environment
- Ability to communicate regulatory requirements clearly and effectively
Senior Compliance Manager employer: MERJE
Contact Detail:
MERJE Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Senior Compliance Manager
✨Tip Number 1
Network with professionals in the financial services sector, especially those who have experience in compliance. Attend industry events or webinars to connect with potential colleagues and learn about the latest trends in regulatory compliance.
✨Tip Number 2
Stay updated on FCA regulations and compliance best practices by following relevant publications and online forums. This will not only enhance your knowledge but also demonstrate your commitment to staying informed during interviews.
✨Tip Number 3
Prepare to discuss specific examples of how you've successfully managed compliance frameworks in previous roles. Highlight any improvements you implemented and the positive outcomes that resulted from your actions.
✨Tip Number 4
Consider obtaining additional certifications related to compliance and financial services. This can set you apart from other candidates and show your dedication to professional development in the field.
We think you need these skills to ace Senior Compliance Manager
Some tips for your application 🫡
Understand the Role: Before applying, make sure you fully understand the responsibilities of a Senior Compliance Manager. Familiarise yourself with FCA requirements and the specific compliance challenges faced by financial services firms.
Tailor Your CV: Highlight your relevant experience in compliance, particularly within the financial services sector. Emphasise your Level 4 Diploma in Financial Planning and any specific achievements related to regulatory compliance or process improvements.
Craft a Compelling Cover Letter: Use your cover letter to showcase your passion for pensions and financial planning. Discuss how your skills align with the role's requirements and provide examples of how you've successfully managed compliance frameworks in previous positions.
Proofread Your Application: Before submitting, carefully proofread your application materials. Ensure there are no spelling or grammatical errors, and that all information is clear and concise. A polished application reflects your attention to detail, which is crucial in compliance roles.
How to prepare for a job interview at MERJE
✨Know Your Regulatory Frameworks
Make sure you have a solid understanding of the FCA requirements and other relevant regulatory frameworks. Be prepared to discuss how these regulations impact the business and share examples of how you've ensured compliance in previous roles.
✨Demonstrate Your Passion for Pensions
Since the role requires a strong interest in pensions and financial planning, be ready to talk about your experiences and what excites you about this sector. Share any relevant projects or initiatives you've been involved in that showcase your enthusiasm.
✨Prepare for Scenario-Based Questions
Expect questions that assess your problem-solving skills in compliance scenarios. Think of specific situations where you've had to navigate complex regulatory challenges and how you approached them. Use the STAR method (Situation, Task, Action, Result) to structure your answers.
✨Showcase Your Training Skills
As part of the role involves providing compliance training, be prepared to discuss your experience in this area. Highlight any training programmes you've developed or delivered, and explain how you ensure that staff understand and adhere to compliance policies.
