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- Tasks: Lead the development and management of compliance policies in a dynamic financial services firm.
- Company: Join a successful wealth management firm committed to regulatory excellence and compliance culture.
- Benefits: Enjoy a full-time role with opportunities for professional growth and impactful work.
- Why this job: Be part of a team that shapes compliance strategies and supports ethical business practices.
- Qualifications: Must have a Diploma in Financial Planning and experience in compliance within financial services.
- Other info: This is a mid-senior level position, perfect for those passionate about compliance and regulation.
The predicted salary is between 43200 - 72000 £ per year.
Our client, a successful financial services firm operating in the wealth management space, is looking for a Compliance Policy Manager to join the business. As Compliance Policy Manager, you will be responsible for the development, implementation, and ongoing management of compliance policies to ensure the company adheres to all relevant regulatory requirements and industry standards. This role plays a critical part in promoting a robust compliance culture, managing regulatory changes, and supporting key stakeholders to achieve business objectives responsibly.
Key Responsibilities:
- Help develop and execute the Compliance Monitoring Plan.
- Develop, review, and update compliance policies and procedures to reflect changes in regulation, business operations, and industry standards.
- Ensure compliance policies align with applicable regulations, including FCA rules, GDPR, and other relevant frameworks.
- Monitor and interpret regulatory changes, assess their impact on the business, and implement necessary policy updates.
- Design and deliver compliance training programs to enhance awareness and understanding of key policies across the business.
- Act as a subject matter expert, providing advice and support to staff on compliance-related matters.
- Collaborate with the Risk and Compliance teams to identify and mitigate compliance risks.
- Support compliance monitoring activities to ensure policy adherence and recommend improvements.
Experience Required:
- Be qualified in the Diploma in Financial Planning (or equivalent).
- Proven experience in compliance, policy management, or a related role within financial services.
- In-depth knowledge of FCA regulations and other relevant regulatory frameworks.
- Experience in managing regulatory changes and embedding policies effectively within a business.
Seniority level: Mid-Senior level
Employment type: Full-time
Job function: Other
Industries: Financial Services and Investment Management
Compliance Policy Manager employer: Clayton Davies
Contact Detail:
Clayton Davies Recruiting Team
paul@claytondavies.com
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Policy Manager
✨Tip Number 1
Network with professionals in the financial services sector, especially those who work in compliance. Attend industry events or webinars to connect with potential colleagues and learn about the latest trends and challenges in compliance policy management.
✨Tip Number 2
Familiarise yourself with the latest FCA regulations and compliance frameworks relevant to wealth management. This knowledge will not only help you in interviews but also demonstrate your commitment to staying updated in a rapidly changing regulatory environment.
✨Tip Number 3
Consider reaching out directly to Clayton Davies or other contacts within the firm to express your interest in the role. A direct message can make a strong impression and show your proactive approach to securing the position.
✨Tip Number 4
Prepare to discuss specific examples of how you've successfully managed compliance policies or navigated regulatory changes in your previous roles. Being able to articulate your experience clearly will set you apart from other candidates.
We think you need these skills to ace Compliance Policy Manager
Some tips for your application 🫡
Understand the Role: Before applying, make sure you fully understand the responsibilities of a Compliance Policy Manager. Familiarise yourself with compliance policies, regulatory frameworks like FCA rules, and the importance of a robust compliance culture.
Tailor Your CV: Highlight your relevant experience in compliance and policy management within financial services. Emphasise your qualifications, such as the Diploma in Financial Planning, and any specific achievements that demonstrate your ability to manage regulatory changes effectively.
Craft a Compelling Cover Letter: Use your cover letter to showcase your passion for compliance and your understanding of the industry. Mention how your skills align with the key responsibilities outlined in the job description, and provide examples of how you've successfully implemented compliance policies in the past.
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 in compliance roles.
How to prepare for a job interview at Clayton Davies
✨Know Your Regulations
Make sure you have a solid understanding of FCA regulations, GDPR, and other relevant frameworks. Be prepared to discuss how these regulations impact the business and how you've managed compliance in previous roles.
✨Showcase Your Experience
Highlight your proven experience in compliance and policy management within financial services. Use specific examples to demonstrate how you've developed and implemented compliance policies successfully.
✨Prepare for Scenario Questions
Expect scenario-based questions that assess your problem-solving skills in compliance situations. Think about past experiences where you had to manage regulatory changes or mitigate compliance risks and be ready to share those stories.
✨Emphasise Training and Collaboration
Discuss your experience in designing and delivering compliance training programs. Highlight how you've collaborated with teams to enhance compliance culture and ensure policy adherence across the organisation.
