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- Tasks: Lead compliance and operations, ensuring FCA standards and quality assurance.
- Company: Join a national IFA firm committed to regulatory integrity and service excellence.
- Benefits: Enjoy a dynamic work environment with opportunities for professional growth and development.
- Why this job: Make a real impact on compliance culture while enhancing your leadership skills.
- Qualifications: Must have a Level 4 Diploma in Financial Planning and prior compliance experience.
- Other info: Be the go-to person for operational queries and drive continuous improvement.
The predicted salary is between 36000 - 60000 £ per year.
Our client is a national IFA firm 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.
- 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.
- 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.
- 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; 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.
Minimum Level 4 Diploma in Financial Planning (or equivalent). Previous Compliance experience in an IFA firm.
Regulatory Affairs Manager (m/w/d) Operations employer: Clayton Davies
Contact Detail:
Clayton Davies Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Regulatory Affairs Manager (m/w/d) Operations
✨Tip Number 1
Network with professionals in the regulatory affairs and compliance sectors. Attend industry events or webinars to connect with others who work in similar roles, as they may provide insights or even referrals for positions like the one at StudySmarter.
✨Tip Number 2
Stay updated on the latest FCA regulations and compliance trends. Demonstrating your knowledge of current regulatory changes during interviews can set you apart from other candidates and show your commitment to the field.
✨Tip Number 3
Prepare to discuss specific examples of how you've successfully managed compliance issues in previous roles. Highlighting your problem-solving skills and ability to implement effective compliance policies will resonate well with hiring managers.
✨Tip Number 4
Research StudySmarter's approach to compliance and operations. Understanding our company culture and values will help you tailor your discussions during the interview, showing that you're a great fit for our team.
We think you need these skills to ace Regulatory Affairs Manager (m/w/d) Operations
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in compliance and operations management. Emphasise your previous roles in IFA firms and any specific achievements related to regulatory oversight.
Craft a Compelling Cover Letter: In your cover letter, explain why you are the perfect fit for the Regulatory Affairs Manager role. Discuss your understanding of FCA compliance and how your leadership skills can enhance operational effectiveness.
Showcase Relevant Qualifications: Clearly state your Level 4 Diploma in Financial Planning or equivalent qualifications. Mention any additional certifications or training that demonstrate your commitment to compliance and regulatory standards.
Highlight Continuous Improvement Initiatives: Provide examples of how you have previously driven continuous improvement in service delivery or compliance processes. This will show your proactive approach and ability to enhance quality assurance within an organisation.
How to prepare for a job interview at Clayton Davies
✨Understand Regulatory Frameworks
Make sure you have a solid grasp of the FCA regulations and compliance requirements relevant to the role. Familiarise yourself with the latest updates in regulatory policies, as this will demonstrate your commitment to maintaining compliance integrity.
✨Showcase 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 how you aligned their work with regulatory expectations and improved service delivery.
✨Prepare for Scenario-Based Questions
Expect questions that assess your problem-solving skills in compliance-related scenarios. Think of specific instances where you've identified compliance vulnerabilities or resolved operational issues, and be ready to discuss your approach and outcomes.
✨Emphasise Continuous Improvement
Highlight your experience in driving continuous improvement within compliance processes. Be prepared to discuss how you've implemented changes that enhanced quality assurance and operational efficiency in previous roles.
