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- Tasks: Lead compliance processes and ensure regulatory obligations are met while promoting a positive culture.
- Company: AFH Wealth Management is a top independent financial advisory firm in the UK, focused on people and growth.
- Benefits: Enjoy flexible working, competitive holidays, social events, a pension scheme, and tailored professional development.
- Why this job: Join a dynamic team where your contributions matter and enjoy a supportive work environment.
- Qualifications: Regulatory Compliance Level 4 qualified with strong experience in compliance functions and attention to detail.
- Other info: This is a full-time, permanent role with hybrid working options.
The predicted salary is between 36000 - 60000 £ per year.
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AFH Wealth Management is proud to be one of the UK\’s leading independent financial advisory and wealth management firms. This role is based at AFH Wealth Management Bishop\’s Stortford.
We believe that our success starts with our people. If you are determined to succeed and eager to take on new challenges, you\’ll find a variety of exciting career opportunities at AFH. This is a full-time, permanent opportunity, with hybrid working, and a competitive salary and range of benefits.
Our Compliance Manager will oversee the company\’s compliance Processes and Procedures to ensure regulatory obligations as well as Group requirements are met. You will be responsible for maintaining systems and controls to minimise risk and develop staff, while promoting a positive culture within the firm at all times.
As our Compliance Manager, you will be responsible for:
- Implementing and maintaining company compliance policy & procedures.
- Producing and maintaining up-to-date management information, reporting to the Senior Management Team and highlighting any trends or recurring problems.
- Ensuring all Training & Competency records are up to date and fully reflect the work conducted throughout the year.
- Conducting file reviews, as well as annual fit & proper checks for IFAs and other regulated staff.
- Supporting and coordinating training and the delivery of CPD for all relevant staff members.
- Managing and maintaining all company Risk Registers.
What we are looking for in our ideal Compliance Manager:
- Regulatory Compliance Level 4 qualified
- Strong experience overseeing and delivering a compliance Function as well as Training & Competency.
- A demonstrable knowledge of regulatory rules and principles.
- Experience checking and reporting on IFA files or other regulated work.
- Ability to work independently and on own initiative.
- A high level of accuracy and attention to detail.
Benefits and Perks at AFH
- Flexible working & holidays – Enjoy flexible working and competitive holiday allowance, with annual buy & sell scheme options and your birthday off. Plus, additional holiday days for long service.
- Social perks – To recognise and celebrate employees\’ great work we are all invited to our annual Christmas and Summer parties.
- Pension – We offer a contributory pension scheme as well as death-in-service benefit.
- Professional development – We are committed to helping you reach your potential by offering tailored learning and development programmes to pursue your career goals.
Apply today to register your interest in joining our team. Job ID 724344
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Compliance Manager employer: AFH Financial Group
Contact Detail:
AFH Financial Group Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Manager
✨Tip Number 1
Familiarise yourself with the latest regulatory changes in the financial advisory sector. This will not only help you understand the compliance landscape but also demonstrate your proactive approach during interviews.
✨Tip Number 2
Network with professionals in the compliance field, especially those who work in financial services. Attend industry events or join relevant online forums to build connections that could lead to valuable insights and potential referrals.
✨Tip Number 3
Prepare to discuss specific examples of how you've successfully implemented compliance policies in previous roles. Highlighting your hands-on experience will set you apart from other candidates.
✨Tip Number 4
Research AFH Wealth Management's company culture and values. Tailoring your conversation to align with their ethos during interviews can show that you're a great fit for their team.
We think you need these skills to ace Compliance Manager
Some tips for your application 🫡
Understand the Role: Before applying, make sure you fully understand the responsibilities of a Compliance Manager at AFH Wealth Management. Tailor your application to highlight relevant experience and skills that align with their requirements.
Highlight Relevant Qualifications: Ensure your CV clearly states your Regulatory Compliance Level 4 qualification and any other relevant certifications. Mention your experience in overseeing compliance functions and training, as these are key aspects of the role.
Craft a Strong Cover Letter: Write a compelling cover letter that not only outlines your qualifications but also demonstrates your understanding of AFH's values and culture. Emphasise your ability to work independently and your attention to detail.
Proofread Your Application: Before submitting, carefully proofread your CV and cover letter for any errors or inconsistencies. A polished application reflects your professionalism and attention to detail, which is crucial for a Compliance Manager.
How to prepare for a job interview at AFH Financial Group
✨Know Your Compliance Regulations
Make sure you have a solid understanding of the regulatory rules and principles relevant to the role. Brush up on the latest compliance updates and be prepared to discuss how they impact the company.
✨Showcase Your Experience
Be ready to share specific examples from your past roles where you successfully managed compliance functions or conducted training. Highlight any challenges you faced and how you overcame them.
✨Demonstrate Attention to Detail
As a Compliance Manager, accuracy is key. During the interview, provide examples that showcase your meticulous nature, such as how you maintain records or conduct file reviews.
✨Emphasise Team Collaboration
Discuss how you promote a positive culture within a team and support colleagues in their development. Share experiences where you coordinated training or worked with others to enhance compliance processes.
