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- Tasks: Lead compliance efforts 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 team culture.
- Why this job: Make a real impact by shaping compliance strategies in a rapidly evolving industry.
- Qualifications: Level 4 Diploma in Financial Planning or equivalent; strong regulatory knowledge required.
- Other info: Ideal for those passionate about pensions and financial planning in a growing environment.
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.
- Oversee and manage the firm’s compliance framework and strategy
- Conduct and manage file reviews and quality assurance checks
- 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
Qualifications:
- 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
Compliance Manager/Senior Manager employer: MERJE
Contact Detail:
MERJE Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Manager/Senior Manager
✨Tip Number 1
Network with professionals in the financial services sector, especially those who work in compliance. Attend industry events or webinars to connect with potential colleagues and learn about the latest trends and challenges in regulatory compliance.
✨Tip Number 2
Stay updated on FCA regulations and compliance best practices by following relevant publications and online forums. This knowledge will not only help you in interviews but also demonstrate your commitment to staying informed in a rapidly changing environment.
✨Tip Number 3
Prepare to discuss specific examples of how you've successfully managed compliance issues in previous roles. Highlight your experience with AML checks and your ability to implement improvements in compliance processes, as these are key aspects of the role.
✨Tip Number 4
Showcase your passion for pensions and financial planning during conversations with the hiring team. Being able to articulate why you're passionate about this field can set you apart from other candidates and demonstrate your alignment with the company's values.
We think you need these skills to ace Compliance Manager/Senior Manager
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in compliance, particularly within financial services and pensions. Use specific examples that demonstrate your understanding of regulatory frameworks and your ability to manage compliance processes.
Craft a Compelling Cover Letter: In your cover letter, express your passion for compliance and financial planning. Mention how your skills align with the responsibilities outlined in the job description, such as overseeing compliance frameworks and conducting AML checks.
Showcase Your Technical Knowledge: Emphasise your strong technical knowledge of regulatory frameworks. Provide examples of how you've successfully navigated compliance challenges in previous roles, especially in dynamic business environments.
Highlight Training Experience: If you have experience providing compliance training, make sure to include this in your application. Discuss how you’ve effectively communicated regulatory requirements to staff and contributed to a culture of compliance within your previous organisations.
How to prepare for a job interview at MERJE
✨Showcase Your Regulatory Knowledge
Make sure to brush up on the latest FCA requirements and demonstrate your understanding of regulatory frameworks, especially within the pensions sector. Being able to discuss specific regulations and how they apply to the role will impress the interviewers.
✨Prepare for Scenario-Based Questions
Expect questions that ask you to describe how you would handle specific compliance challenges. Think about past experiences where you've successfully navigated complex regulatory issues and be ready to share those examples.
✨Highlight Your Training Experience
Since the role involves providing ongoing compliance training, be prepared to discuss any previous experience you have in training staff. Share how you’ve effectively communicated complex regulatory information in a way that’s easy to understand.
✨Demonstrate Your Improvement Mindset
The firm is looking for someone who can identify and implement improvements in compliance processes. Be ready to talk about times when you've successfully improved compliance frameworks or processes in your previous roles.
