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- Tasks: Oversee compliance, conduct audits, and support advisers in a dynamic wealth management environment.
- Company: Join a growing wealth management firm focused on expanding its adviser base and enhancing compliance.
- Benefits: Enjoy a hybrid work setup, competitive salary, pension, and 25 days holiday plus stats.
- Why this job: Be part of a vital team, influence compliance strategy, and gain hands-on experience in a supportive culture.
- Qualifications: Must hold a QCF level 4 Diploma and have experience in internal compliance within wealth management.
- Other info: Opportunity to shadow a retiring head for six months, gaining invaluable insights.
The predicted salary is between 42000 - 84000 £ per year.
The Company: An expanding wealth management firm with recent investment aimed at growing their adviser base now has a need to bring in a Compliance Manager to take on a broad internal compliance role. This is inclusive of file review, T&C and some business operations involvement too and will shadow a retiring head for the next 6 months.
Office Location: Barnsley
Working Setup: Hybrid - Split between office & WFH
Package: £50-60k base DOE + discretionary bonus & benefits
Key Benefits: Pension, DIS plus wider company benefits
Holidays: 25 days holiday + stats
Hours: Full-time 35hrs p/w
The Role: An internal compliance role/remit spanning internal audit, T&C, governance and compliance oversight for the group. Duties include:
- To report directly to the Senior Management Team to ensure that they are fully aware of the firms responsibilities for compliance
- To keep abreast of Regulatory issues and ensure that these are effectively communicated to Staff, Directors and Advisers
- To ensure that the firm maintains and monitors its commitment to TCF
- To work directly with the directors to highlight any potential Risk to the firm and to communicate this to the advisers
- To produce the Annual Compliance Plan
- To play a significant role in the Senior Management team and to report directly to SMF16
- To act in a supervisory capacity and to act as support and liaison point for advisers
- To ensure that correct procedures are in place regarding Data Protection, Money Laundering and the Consumer Credit Act
- To ensure all company literature is up to date and meets regulatory requirements
- To deal with Complaints
- To conduct regular audits of Compliance and T&C procedures and implement changes
- To conduct audits and inspection visits of branches and/or advisers as required following identification of potential shortcomings against company and regulatory standards
- Design and Maintenance of Induction Training
- To assist in the completion of the RMAR and submit to the FCA
- To manage the paraplanning team and ensure their compliance with company standards
- Adhere to company Compliance/TCF/Data Security/Complaints procedures.
- To ensure file reviews are completed to company standard (internal and outsource).
- Check that Adviser is completing remedial within the company’s set timeframe
The Person: You must be QCF level 4 Diploma qualified and be coming from an IFA/wealth management background. This is an all-encompassing compliance type role covering Adviser Compliance and T&C, so the motivation (and experience) to take on a broad yet exciting remit is essential:
- Required: Internal compliance and file review experience in a private wealth advice setting
- Required: Prior adviser T&C/T&D responsibilities
- Preferred: Adviser onboarding and induction experience
What next? Please send CV applications to Chris at CB3 Associates Ltd to be reviewed inside 24 hours. For further opportunities that might suit you, please visit the website: www.cb3associates.co.uk
Compliance Manager employer: CB3 Associates Ltd
Contact Detail:
CB3 Associates Ltd Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Manager
✨Tip Number 1
Familiarise yourself with the latest regulatory changes in the wealth management sector. Being well-versed in current compliance issues will not only boost your confidence but also demonstrate your commitment to the role during any discussions.
✨Tip Number 2
Network with professionals in the compliance field, especially those who have experience in wealth management. Engaging with industry peers can provide valuable insights and may even lead to referrals or recommendations for the position.
✨Tip Number 3
Prepare to discuss your previous experiences in internal compliance and file reviews. Be ready to share specific examples of how you've successfully managed compliance issues or improved processes in past roles.
✨Tip Number 4
Showcase your leadership skills and ability to work collaboratively with senior management. Highlighting your experience in a supervisory capacity will be crucial, as this role involves significant interaction with directors and advisers.
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 in a wealth management firm. Familiarise yourself with key compliance concepts and regulations relevant to the role.
Tailor Your CV: Highlight your experience in internal compliance, file reviews, and any relevant qualifications such as the QCF level 4 Diploma. Make sure to emphasise your background in IFA or wealth management to align with the job requirements.
Craft a Compelling Cover Letter: Write a cover letter that showcases your motivation for the role and your understanding of compliance within the wealth management sector. Mention specific experiences that demonstrate your ability to handle the responsibilities outlined in the job description.
Proofread Your Application: Before submitting, carefully proofread your CV and cover letter for any spelling or grammatical errors. A polished application reflects your attention to detail, which is crucial for a compliance role.
How to prepare for a job interview at CB3 Associates Ltd
✨Know Your Compliance Regulations
Familiarise yourself with the latest compliance regulations relevant to wealth management. Be prepared to discuss how these regulations impact the firm's operations and how you can ensure adherence.
✨Demonstrate Your Experience
Highlight your previous experience in internal compliance and file reviews, especially within a private wealth advice setting. Use specific examples to illustrate your understanding of TCF and risk management.
✨Showcase Your Communication Skills
As a Compliance Manager, you'll need to communicate effectively with various stakeholders. Prepare to demonstrate your ability to convey complex regulatory information clearly to staff, directors, and advisers.
✨Prepare Questions for the Interviewers
Think of insightful questions to ask about the company's compliance culture and their expectations for the role. This shows your genuine interest and helps you assess if the company is the right fit for you.
