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For Companies At a Glance
- Tasks: Lead compliance and operations, ensuring regulatory standards and efficient support functions.
- Company: Join a national IFA firm committed to regulatory integrity and quality service delivery.
- Benefits: Enjoy a competitive salary of £65,000 plus benefits and opportunities for professional growth.
- Why this job: Make a real impact on compliance culture while enhancing your leadership skills in a dynamic environment.
- Qualifications: Must have a Level 4 Diploma in Financial Planning and prior compliance experience in an IFA firm.
- Other info: This role is crucial for maintaining regulatory standards and driving continuous improvement.
The predicted salary is between 52000 - 78000 £ per year.
Our client is a national IFA firm who are looking for an experienced Compliance and Operations Manager to join the business. This is an important role that combines regulatory oversight with operational leadership, ensuring both FCA compliance and the effective delivery of support functions across paraplanning and administration. This is a key position to maintain regulatory integrity, enhance quality assurance, and drive continuous improvement in service delivery.
Role & Responsibilities:
- Support the development and implementation of comprehensive compliance policies and procedures throughout the organisation such as T&C, advice framework, horizon scanning, etc.
- Line manage the paraplanning and administration teams, ensuring alignment with regulatory expectations and internal standards.
- Monitor workload allocation and workflow efficiencies to support adviser output.
- Conduct quality reviews of paraplanning and administration outputs to ensure suitability and consistency.
- Act as the central point for resolving operational and compliance-related queries.
- Ensure SLAs and key operational metrics are consistently met.
- Maintain and improve operational processes to support business growth and adviser productivity.
- Conduct regular audits and risk assessments to identify potential areas of compliance vulnerability and risk; develop/implement corrective action plans for resolution.
- Provide advice and guidance on the interpretation of regulatory requirements and their implications for business operations.
- Conduct compliance training sessions for employees to ensure company-wide awareness and understanding of compliance policies and regulatory requirements.
- Manage and report on the handling of complaints in accordance with FCA guidelines, ensuring effective resolution.
- Support all communications and reporting requirements with the FCA and other regulatory bodies.
- Act as liaison and maintain effective relationships with third party compliance support services.
- Embed and support a compliance culture within the organisation and contribute to strategic planning from a regulatory perspective.
Do you have the following to apply?
- Minimum Level 4 Diploma in Financial Planning (or equivalent)
- Previous Compliance experience in an IFA firm.
- Knowledge of both Paraplanning and Administration teams within an IFA firm.
Due to the high volume of applications received we are unable to respond to everyone directly. If you are not contacted within 7 working days, you have unfortunately not been shortlisted. Clayton Davies is acting as an employment agency on behalf of our client.
Contact Detail:
Clayton Davies Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance and Operations Manager
✨Tip Number 1
Familiarise yourself with the latest FCA regulations and compliance standards relevant to IFA firms. This knowledge will not only help you in interviews but also demonstrate your commitment to maintaining regulatory integrity.
✨Tip Number 2
Network with professionals in the compliance and operations field, especially those who have experience in IFA firms. Attend industry events or join relevant online forums to build connections that could provide insights or referrals.
✨Tip Number 3
Prepare to discuss specific examples of how you've improved operational processes or compliance measures in previous roles. Highlighting your achievements in these areas can set you apart from other candidates.
✨Tip Number 4
Research the company’s current compliance policies and any recent news related to their operations. Being informed about their practices will allow you to ask insightful questions during the interview, showcasing your genuine interest in the role.
We think you need these skills to ace Compliance and Operations Manager
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in compliance and operations management, particularly within an IFA firm. Emphasise your knowledge of regulatory requirements and any specific achievements that demonstrate your ability to enhance quality assurance.
Craft a Compelling Cover Letter: Write a cover letter that directly addresses the key responsibilities outlined in the job description. Explain how your previous roles have prepared you for this position, focusing on your experience with compliance policies, team management, and operational improvements.
Showcase Relevant Qualifications: Clearly state your Level 4 Diploma in Financial Planning (or equivalent) in your application. If you have additional certifications or training related to compliance or operations, be sure to include those as well.
Highlight Soft Skills: In addition to technical skills, emphasise your soft skills such as communication, leadership, and problem-solving abilities. These are crucial for managing teams and liaising with regulatory bodies effectively.
How to prepare for a job interview at Clayton Davies
✨Know Your Compliance Regulations
Familiarise yourself with the latest FCA regulations and compliance requirements relevant to the role. Be prepared to discuss how you have implemented these in previous positions, showcasing your understanding of regulatory frameworks.
✨Demonstrate Leadership Skills
As a Compliance and Operations Manager, you'll be leading teams. Prepare examples of how you've successfully managed teams in the past, focusing on your approach to aligning team goals with regulatory expectations and operational efficiency.
✨Showcase Problem-Solving Abilities
Be ready to discuss specific challenges you've faced in compliance or operations and how you resolved them. Highlight your analytical skills and ability to develop corrective action plans for compliance vulnerabilities.
✨Prepare for Scenario-Based Questions
Expect scenario-based questions that assess your decision-making skills in compliance situations. Practice articulating your thought process and the steps you would take to ensure compliance while maintaining operational effectiveness.
