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For Companies At a Glance
- Tasks: Lead compliance efforts, ensuring adherence to FCA regulations and managing regulatory reporting.
- Company: Join a top financial advice firm dedicated to ethical wealth management and client success.
- Benefits: Enjoy competitive salary, professional development opportunities, and a supportive work culture.
- Why this job: Make a real impact in a key role that shapes the firm's compliance and ethical standards.
- Qualifications: Experience in compliance within FCA-regulated firms and relevant qualifications are essential.
- Other info: Ideal for detail-oriented individuals passionate about regulatory frameworks and risk management.
The predicted salary is between 60000 - 84000 £ per year.
We are a leading financial advice and wealth management firm providing tailored financial planning, investment, and wealth protection services to individuals and families. As an FCA-regulated business, we are committed to maintaining the highest standards of professionalism, ethics, and regulatory compliance.
Role Summary
The Compliance Manager will be responsible for overseeing and developing the firm’s compliance framework, ensuring all regulatory requirements, particularly those set by the FCA, are met and maintained. This includes ownership of regulatory data reporting obligations. This is a key role that ensures the firm’s operations are compliant, ethical, and aligned with industry standards.
Key Responsibilities
- Regulatory Compliance: Ensure full adherence to FCA regulations, including SYSC, COBS, DISP, and SM&CR. Monitor changes in regulation and provide impact analysis and implementation plans. Act as the main point of contact for the FCA, handling all communications and regulatory interactions.
- Regulatory Data Reporting: Take ownership of all regulatory reporting to the FCA, including but not limited to Gabriel/RegData returns, RMAR, complaints data, and financial promotions records. Ensure reports are accurate, complete, and submitted on time. Maintain robust controls and documentation around reporting processes.
- Policy & Procedure Management: Develop and maintain the firm’s compliance policies and manuals. Ensure effective dissemination and understanding of compliance obligations across the business.
- Monitoring & Auditing: Conduct regular compliance monitoring reviews and audits. Maintain a compliance monitoring plan and report on outcomes and trends to senior management.
- Risk Management: Maintain and enhance the firm’s compliance risk framework and risk register. Proactively identify and manage compliance risks.
- Training & Culture: Deliver training on regulatory topics including conduct risk, financial promotions, data protection, and complaint handling. Foster a culture of compliance and conduct throughout the organisation.
- File Reviews & Adviser Oversight: Perform file checks to ensure advice standards and FCA requirements are met. Support the supervision and competency framework for financial advisers.
- Complaint Handling: Oversee complaint management in line with DISP. Analyse complaint trends and implement corrective action where necessary.
Skills & Experience Required
- Strong experience in a compliance role within an FCA-regulated financial advice or wealth management firm.
- Solid understanding of FCA regulatory frameworks, particularly around reporting, conduct of business, and risk.
- Experience with FCA RegData and regulatory returns (e.g., RMAR).
- Excellent attention to detail, analytical ability, and organisational skills.
- Strong communication skills and ability to influence across the business.
- Relevant compliance or financial services qualification (e.g. DipPFS, ICA, CISI).
Desirable
- Experience managing FCA interactions or regulatory visits.
- Familiarity with compliance technology platforms.
- Advanced compliance qualifications or training.
Compliance Manager employer: fs talent
Contact Detail:
fs talent Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Manager
✨Tip Number 1
Familiarise yourself with the latest FCA regulations and compliance frameworks. Understanding the nuances of SYSC, COBS, DISP, and SM&CR will not only help you in interviews but also demonstrate your commitment to the role.
✨Tip Number 2
Network with professionals in the compliance field, especially those working in FCA-regulated firms. Attend industry events or webinars to gain insights and make connections that could lead to referrals or recommendations.
✨Tip Number 3
Prepare to discuss specific examples of how you've managed compliance risks or improved reporting processes in previous roles. Real-life scenarios can showcase your problem-solving skills and attention to detail.
✨Tip Number 4
Stay updated on current trends in compliance technology. Being knowledgeable about compliance tech platforms can set you apart from other candidates and show that you're proactive about improving efficiency in compliance management.
We think you need these skills to ace Compliance Manager
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your experience in compliance roles, particularly within FCA-regulated firms. Emphasise your understanding of FCA regulations and any relevant qualifications you hold.
Craft a Strong Cover Letter: In your cover letter, explain why you're passionate about compliance and how your skills align with the responsibilities outlined in the job description. Mention specific experiences that demonstrate your ability to manage regulatory requirements effectively.
Highlight Relevant Skills: Focus on showcasing your analytical abilities, attention to detail, and communication skills. Provide examples of how you've successfully managed compliance risks or improved processes in previous roles.
Proofread Your Application: Before submitting, carefully proofread your application for any errors or inconsistencies. A polished application reflects your attention to detail, which is crucial for a Compliance Manager role.
How to prepare for a job interview at fs talent
✨Know Your FCA Regulations
Make sure you have a solid understanding of the FCA regulations relevant to the role, such as SYSC, COBS, and SM&CR. Be prepared to discuss how you've applied these regulations in your previous roles and any changes you've monitored.
✨Demonstrate Your Analytical Skills
As a Compliance Manager, you'll need to showcase your analytical abilities. Prepare examples of how you've conducted compliance monitoring reviews or audits, and be ready to discuss the outcomes and trends you've identified.
✨Showcase Your Communication Skills
Strong communication skills are essential for this role. Think of instances where you've effectively communicated compliance obligations across a team or influenced stakeholders. Be ready to explain how you foster a culture of compliance within an organisation.
✨Prepare for Scenario-Based Questions
Expect scenario-based questions that assess your problem-solving skills in compliance situations. Practice articulating how you would handle regulatory interactions or manage compliance risks, ensuring you highlight your proactive approach.
