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- Tasks: Lead compliance efforts, ensuring adherence to FCA regulations and conducting file reviews.
- Company: Join a reputable Independent Financial Adviser firm focused on integrity and client satisfaction.
- Benefits: Enjoy remote work flexibility and a competitive salary based on your experience.
- Why this job: Make a real impact by safeguarding clients and shaping the firm's success in finance.
- Qualifications: Must have proven compliance experience and a Level 4 Diploma in Financial Planning.
- Other info: Due to high application volumes, only shortlisted candidates will be contacted.
The predicted salary is between 36000 - 60000 £ per year.
Remote Based
Competitive salary depending on experience
Our client is a well-established and client-focused Independent Financial Adviser (IFA) firm, dedicated to providing tailored financial advice with integrity, transparency, and professionalism. They are looking for a Compliance Manager to lead and manage the Compliance function.
As Compliance Manager, you will be responsible for ensuring the firm’s advice, policies, and practices comply with FCA regulations and industry best practice. Working closely with senior management, you will play a vital role in safeguarding their clients and supporting the firm’s continued success.
Role & Responsibilities:
- Oversee the firm’s compliance framework and ensure adherence to FCA rules and regulations.
- Conduct file reviews and suitability checks on client advice.
- Monitor and implement regulatory changes, communicating requirements across the business.
- Develop and update internal policies and procedures.
- Maintain accurate and up-to-date compliance records and registers.
- Provide training and guidance to advisers and staff.
- Liaise with external compliance consultants and the FCA as needed.
- Assist in handling complaints and reporting breaches and regulatory issues.
- Support the firm with ongoing SM&CR and Consumer Duty obligations.
Do you have the following to apply?
- Proven experience in a compliance role within an IFA or financial planning firm.
- Minimum Level 4 Diploma in Financial Planning (or equivalent).
Due to the high volume of applications received we are unable to respond to everyone directly. If you are not contacted within 7 working days, you have unfortunately not been shortlisted.
Clayton Davies is acting as an employment agency on behalf of our client.
Compliance Manager employer: Clayton Davies
Contact Detail:
Clayton Davies Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Manager
✨Tip Number 1
Network with professionals in the financial services industry, especially those who work in compliance roles. Attend industry events or webinars to connect with potential colleagues and learn about the latest trends and challenges in compliance.
✨Tip Number 2
Familiarise yourself with the latest FCA regulations and compliance frameworks relevant to IFAs. This knowledge will not only help you in interviews but also demonstrate your commitment to staying updated in the field.
✨Tip Number 3
Consider reaching out to current or former employees of the firm to gain insights into their compliance culture and expectations. This can provide you with valuable information that you can use to tailor your approach during the interview process.
✨Tip Number 4
Prepare specific examples from your past experience that showcase your ability to manage compliance issues effectively. Highlight instances where you've successfully implemented changes or improved processes, as this will resonate well with the hiring team.
We think you need these skills to ace Compliance Manager
Some tips for your application 🫡
Understand the Role: Before applying, make sure you fully understand the responsibilities of a Compliance Manager. Familiarise yourself with FCA regulations and the specific compliance needs of an Independent Financial Adviser (IFA) firm.
Tailor Your CV: Highlight your relevant experience in compliance roles, particularly within financial planning firms. Emphasise your qualifications, such as the Level 4 Diploma in Financial Planning, and any specific achievements that demonstrate your ability to manage compliance effectively.
Craft a Strong Cover Letter: Write a compelling cover letter that outlines your passion for compliance and your understanding of the IFA sector. Mention how your skills align with the firm's values of integrity, transparency, and professionalism.
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 Clayton Davies
✨Understand FCA Regulations
Make sure you have a solid grasp of the FCA regulations relevant to the role. Be prepared to discuss how these regulations impact compliance practices and how you would ensure adherence within the firm.
✨Showcase Your Experience
Highlight your previous experience in compliance roles, especially within IFA or financial planning firms. Use specific examples to demonstrate how you've successfully managed compliance frameworks and handled regulatory changes.
✨Prepare for Scenario Questions
Expect scenario-based questions that assess your problem-solving skills. Think about past situations where you had to implement compliance measures or deal with breaches, and be ready to explain your thought process and actions.
✨Emphasise Training and Guidance Skills
As a Compliance Manager, you'll need to provide training and guidance to staff. Be prepared to discuss your approach to training others and how you ensure that everyone understands compliance requirements and best practices.
