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- Tasks: Lead compliance efforts, conduct audits, and ensure regulatory adherence in a dynamic wealth management firm.
- Company: Join a growing wealth management firm focused on expanding their 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 supportive team, gain valuable experience, and make a real impact in compliance.
- Qualifications: Must hold a QCF level 4 Diploma with experience in IFA or wealth management compliance.
- 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
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 proactive approach to the hiring team.
✨Tip Number 2
Network with professionals in the compliance and wealth management fields. Attend industry events or join relevant online forums to connect with others who can provide insights or even refer you to opportunities within their firms.
✨Tip Number 3
Prepare to discuss your experience with internal audits and file reviews in detail. Be ready to share specific examples of how you've improved compliance processes in previous roles, as this will highlight your suitability for the position.
✨Tip Number 4
Research StudySmarter and our values, especially regarding compliance and governance. Understanding our culture and how you can contribute will help you stand out during any discussions with us.
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
Make sure you are well-versed in the latest compliance regulations relevant to wealth management. Familiarise yourself with the key regulatory bodies and their requirements, as this will demonstrate your commitment and expertise during the interview.
✨Showcase Your Experience
Prepare specific examples from your previous roles that highlight your experience in internal compliance, file reviews, and T&C responsibilities. Be ready to discuss how you've successfully managed compliance issues and improved processes in past positions.
✨Understand the Company’s Culture
Research the company’s values and culture before the interview. Understanding their approach to compliance and how they interact with advisers will help you tailor your responses and show that you’re a good fit for their team.
✨Prepare Questions for the Interviewers
Have a list of insightful questions ready to ask the interviewers. This could include inquiries about their current compliance challenges or how they envision the role evolving. It shows your interest in the position and helps you gauge if the company aligns with your career goals.
