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- Tasks: Lead the development and management of compliance policies in a dynamic financial services firm.
- Company: Join a successful firm in wealth management, dedicated to regulatory excellence and client success.
- Benefits: Enjoy a full-time role with opportunities for professional growth and a supportive work culture.
- Why this job: Be a key player in promoting compliance culture and making a real impact in the industry.
- 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 looking to advance their career.
The predicted salary is between 36000 - 60000 £ per year.
Direct message the job poster from Clayton Davies
Director at Clayton Davies – 07515031496 / paul@claytondavies.com
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
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Contact Detail:
Clayton Davies Recruiting Team
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 more 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 the job poster, Clayton Davies, via the provided contact details. A well-crafted message expressing your interest in the role and highlighting your relevant experience can make a strong impression.
✨Tip Number 4
Prepare for potential interview questions by thinking about specific examples from your past experience that showcase your ability to develop and implement compliance policies. Be ready to discuss how you've managed regulatory changes and trained staff on compliance matters.
We think you need these skills to ace Compliance Policy Manager
Some tips for your application 🫡
Understand the Role: Before applying, make sure to thoroughly understand the responsibilities of a Compliance Policy Manager. Familiarise yourself with compliance policies, regulatory frameworks like FCA and GDPR, 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: Write a cover letter that showcases 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 a compliance role.
How to prepare for a job interview at Clayton Davies
✨Know Your Regulations
Familiarise yourself with FCA regulations and other relevant frameworks before the interview. Being able to discuss specific regulations and how they impact compliance policies will demonstrate your expertise and preparedness for the role.
✨Showcase Your Experience
Prepare examples from your previous roles that highlight your experience in compliance and policy management. Discuss how you've successfully managed regulatory changes and implemented policies, as this will show your capability to handle the responsibilities of the Compliance Policy Manager.
✨Demonstrate Training Skills
Since the role involves designing and delivering compliance training programs, be ready to discuss any experience you have in training or educating others. Highlight your ability to enhance awareness and understanding of compliance policies within a team.
✨Ask Insightful Questions
Prepare thoughtful questions about the company's compliance culture and how they manage regulatory changes. This shows your genuine interest in the role and helps you assess if the company aligns with your values and career goals.
