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- Tasks: Lead compliance efforts and ensure FCA regulations are met in a dynamic financial services environment.
- Company: Join a successful independent financial services firm with a strong reputation in St Albans.
- Benefits: Enjoy a competitive salary of £50,000 and opportunities for professional growth.
- Why this job: Make a real impact by ensuring compliance and risk management in a vital industry.
- Qualifications: 3+ years in Financial Services, with compliance experience and strong Excel skills required.
- Other info: Be part of a supportive team that values strategic relationships and effective communication.
The predicted salary is between 36000 - 60000 £ per year.
A well established and successful independent financial services business looking for a Compliance Manager to provide a broad compliance and risk service and ensure FCA regulatory requirements are met.
As the Compliance Manager you will be reporting to the Head of Risk and Compliance, ensuring the company adheres to the Governance Schedule including FCA’s Consumer Duty, Conduct Rules and Principles. Other responsibilities will include:
- Ensure all day-to-day business as usual compliance breaches and complaints handling support is provided.
- Act as a second line defence to identify and monitor risks and provide a feedback loop to Head of Risk & Compliance.
- Support the Head of Risk & Compliance in meeting the Compliance Monitoring Plan in order to analyse the company’s compliance with regulatory requirements including FCA obligations, Data Protection, Fraud Prevention and measures, Consumer Duty Basic Principles and anti-money laundering.
- Analyse the root causes of regulatory and procedural breaches and ensure that practical remedial actions have been taken to mitigate against future occurrence.
- Support the Head of Risk & Compliance in the review and maintenance of the Compliance Manuals.
Essential knowledge and experience required at time of recruitment include:
- Minimum of 3 years’ experience in Financial Services, preferably in the Investment and Life Protection sectors, with at least 1 year in the Compliance sector.
- Good interpersonal and communication skills and able to identify and build important strategic relationships internally and externally.
- Sound and proportionate judgement and a commercial outlook.
- Advanced Excel skills and highly numerate.
- Compliance monitoring, risk management and/or internal audit skills.
- Good inter-personal and communication skills and be a strong team player.
- Awareness of the FCA handbook and data protection.
Compliance Manager employer: Abacus Consulting
Contact Detail:
Abacus Consulting Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Manager
✨Tip Number 1
Familiarise yourself with the FCA handbook and current regulations. Understanding the latest compliance requirements will not only help you in interviews but also demonstrate your commitment to staying updated in the field.
✨Tip Number 2
Network with professionals in the financial services sector, especially those working in compliance roles. Attend industry events or join relevant online forums to build connections that could lead to job opportunities.
✨Tip Number 3
Prepare to discuss specific examples of how you've handled compliance breaches or risk management in your previous roles. Being able to articulate your experience will set you apart from other candidates.
✨Tip Number 4
Showcase your advanced Excel skills by being ready to discuss how you've used data analysis in compliance monitoring. This practical knowledge is crucial for the role and can give you an edge during the interview process.
We think you need these skills to ace Compliance Manager
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in financial services and compliance. Emphasise your skills in risk management, compliance monitoring, and any specific achievements that align with the job description.
Craft a Strong Cover Letter: Write a cover letter that directly addresses the responsibilities mentioned in the job description. Explain how your background and skills make you a perfect fit for the Compliance Manager role, particularly your experience with FCA regulations.
Highlight Relevant Skills: In your application, focus on your interpersonal and communication skills, as well as your ability to build strategic relationships. Mention your advanced Excel skills and any experience with compliance manuals or data protection.
Proofread Your Application: Before submitting, carefully proofread your CV and cover letter for any errors or typos. A polished application reflects your attention to detail, which is crucial for a Compliance Manager role.
How to prepare for a job interview at Abacus Consulting
✨Know Your Regulations
Familiarise yourself with the FCA's Consumer Duty, Conduct Rules, and Principles. Be prepared to discuss how these regulations impact compliance in financial services and provide examples of how you've ensured adherence in previous roles.
✨Demonstrate Analytical Skills
Be ready to showcase your ability to analyse compliance breaches and their root causes. Prepare specific examples where you've identified issues and implemented effective remedial actions to prevent future occurrences.
✨Highlight Interpersonal Skills
Since building strategic relationships is key, think of instances where your communication skills have helped you collaborate effectively with teams or stakeholders. Show that you can be a strong team player while also being assertive when necessary.
✨Excel at Excel
Given the requirement for advanced Excel skills, brush up on your knowledge of data analysis and reporting. Be prepared to discuss how you've used Excel in compliance monitoring or risk management tasks in your previous positions.
