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- Tasks: Lead compliance efforts and ensure adherence to FCA regulations.
- Company: Join a forward-thinking Independent Financial Adviser firm focused on client success.
- Benefits: Enjoy a competitive salary of £80,000 plus additional benefits.
- Why this job: Be a key player in shaping compliance culture and safeguarding clients.
- Qualifications: Must have experience in compliance within IFA or wealth management.
- Other info: Opportunity to work closely with senior management and regulatory bodies.
The predicted salary is between 57600 - 84000 £ per year.
Our client is a well-established and forward-thinking Independent Financial Adviser (IFA) firm, committed to delivering expert, client-focused financial planning and wealth management services. They are seeking an experienced Head of Compliance to lead and develop their compliance function. As Head of Compliance, you will be responsible for overseeing all aspects of regulatory compliance across the business. Reporting to the Board, you’ll play a key role in maintaining their FCA permissions, embedding a culture of compliance, and safeguarding the firm and its clients against regulatory risk.
Role & Responsibilities:
- Lead the development, implementation, and continuous improvement of the firm’s compliance framework
- Monitor and ensure adherence to all applicable FCA rules and guidelines
- Prepare and submit all necessary regulatory reports and returns
- Provide advice and support to senior management, advisers, and staff on compliance matters
- Conduct file reviews, adviser monitoring, and risk assessments
- Liaise with the FCA and other regulatory bodies when required
- Deliver regular compliance training and maintain up-to-date policies and procedures
Do you have the following to apply?
- Proven experience in a Compliance role within an IFA or wealth management environment.
- Strong understanding of FCA regulations and financial planning principles.
- Diploma qualified (DipPFS or equivalent) as a minimum.
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.
Head of Compliance employer: Clayton Davies
Contact Detail:
Clayton Davies Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Head of Compliance
✨Tip Number 1
Network with professionals in the compliance and financial services sectors. Attend industry events or webinars to connect with others who may have insights into the role and the company culture.
✨Tip Number 2
Stay updated on the latest FCA regulations and compliance trends. This knowledge will not only help you in interviews but also demonstrate your commitment to the role and the industry.
✨Tip Number 3
Prepare to discuss specific examples of how you've successfully implemented compliance frameworks in previous roles. Highlighting your hands-on experience can set you apart from other candidates.
✨Tip Number 4
Research the firm thoroughly, including their values and recent news. Tailoring your conversation to align with their mission can show that you're genuinely interested in contributing to their success.
We think you need these skills to ace Head of Compliance
Some tips for your application 🫡
Understand the Role: Thoroughly read the job description for the Head of Compliance position. Make sure you understand the responsibilities and qualifications required, particularly the importance of FCA regulations in the role.
Tailor Your CV: Customise your CV to highlight your relevant experience in compliance within an IFA or wealth management environment. Emphasise your understanding of FCA regulations and any specific achievements that demonstrate your capability in this area.
Craft a Compelling Cover Letter: Write a cover letter that not only outlines your qualifications but also conveys your passion for compliance and financial planning. Mention how your previous experiences align with the responsibilities listed in the job description.
Proofread Your Application: Before submitting your application, carefully proofread all documents for spelling and 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 Clayton Davies
✨Know Your FCA Regulations
Make sure you have a solid understanding of the FCA regulations relevant to the role. Brush up on key compliance guidelines and be prepared to discuss how you've applied these in your previous roles.
✨Showcase Your Leadership Skills
As the Head of Compliance, you'll need to lead a team. Be ready to share examples of how you've successfully led compliance initiatives or teams in the past, highlighting your ability to foster a culture of compliance.
✨Prepare for Scenario Questions
Expect scenario-based questions that assess your problem-solving skills in compliance situations. Think about past challenges you've faced and how you navigated them, as this will demonstrate your practical experience.
✨Ask Insightful Questions
Prepare thoughtful questions about the firm's compliance culture and future challenges. This shows your genuine interest in the role and helps you gauge if the company aligns with your values and career goals.
