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- Tasks: Join us as a Compliance Advisory Manager, guiding regulatory processes and enhancing compliance policies.
- Company: Be part of a leading Financial Services Group with a rapidly expanding Compliance Department.
- Benefits: Enjoy a competitive salary of £54K plus bonuses, with 50% hybrid working options.
- Why this job: This role offers growth opportunities and the chance to make a real impact in compliance.
- Qualifications: Experience in retail investments and pensions, with knowledge of Consumer Duty and FCA Handbook required.
- Other info: Apply directly to our MD, David Symes FCA, and join a dynamic team at an exciting time.
The predicted salary is between 43200 - 75600 £ per year.
Job Description
COMPLIANCE ADVISORY MANAGER – EXPERIENCE OF RETAIL INVESTMENTS AND PENSIONS REQUIRED
£54K plus bonus & benefits 50% Hybrid (Bath)
REF: 4129D2
We are recruiting for our client, a leading Financial Services Group, seeking a Compliance Advisory Manager to support the business on understanding regulatory policy, procedures and process
- Support and advise on how regulated processes work
- Advise on regulatory enhancements and controls working closely with the Risk Business Partner and team
- Work closely with the Compliance lead and compliance team to support regulatory changes that may effect the business and clients
- Assist in implementing any regulatory changes to SOPs required (and necessary guidance and training provided)
- Advise on regulatory queries from the 1LOD teams and more broadly from the business and/clients
- Support the Compliance Lead and the work closely with Risk to review the emerging risks, breaches and support on remediation projects
- Support regulatory projects and initiatives
- Support to develop, implement, and maintain compliance policies and procedures
- Monitor regulatory developments and work closely with the Compliance team and lead to ensure timely updates to internal controls
- Support with conducting reviews to identify potential compliance issues
- Prepare and submit compliance reports to senior management
- Investigate and support to resolve compliance breaches or concerns
- Maintain records of compliance activities and decisions
You should have previous experience of advising on Policies and Standard Operating Procedures as well as ongoing advisory Regulatory Interpretation, covering both Pensions and Retail Investments with a good knowledge of Consumer Duty as well as the broader FCA Handbook.
Great opportunity to join rapidly expanding Compliance Dept at an exciting time with plenty of opportunities for internal progression. NB We have already filled many roles at this client including some of the senior positions hence are well placed to advise you on these
So, if that sounds like you, then please send your details to our MD, David Symes FCA, at david@compliancerecruitment.com (including contact no) however please note we cannot reply to all applications so only successful applications will be contacted (although under no circumstances are your details ever passed on without your specific permission).
Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.
The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.
Compliance Manager - Compliance Recruitment Solutions employer: Compliance Recruitment Solutions
Contact Detail:
Compliance Recruitment Solutions Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Manager - Compliance Recruitment Solutions
✨Tip Number 1
Familiarise yourself with the latest regulatory changes in retail investments and pensions. Being well-versed in current compliance issues will not only boost your confidence but also demonstrate your proactive approach to potential employers.
✨Tip Number 2
Network with professionals in the compliance field, especially those who have experience in retail investments and pensions. Attend industry events or join relevant online forums to make connections that could lead to job opportunities.
✨Tip Number 3
Prepare to discuss specific examples of how you've successfully navigated compliance challenges in previous roles. Highlighting your problem-solving skills and experience with regulatory interpretation will set you apart from other candidates.
✨Tip Number 4
Research StudySmarter and our client’s values and culture. Tailoring your conversation to align with their mission and demonstrating your enthusiasm for the role can significantly increase your chances of making a positive impression.
We think you need these skills to ace Compliance Manager - Compliance Recruitment Solutions
Some tips for your application 🫡
Understand the Role: Before applying, make sure you fully understand the responsibilities of a Compliance Advisory Manager. Familiarise yourself with regulatory policies, procedures, and the specific requirements mentioned in the job description.
Tailor Your CV: Highlight your relevant experience in retail investments and pensions. Make sure to include specific examples of how you've advised on compliance policies and standard operating procedures in your previous roles.
Craft a Strong Cover Letter: In your cover letter, express your enthusiasm for the role and the company. Mention your understanding of Consumer Duty and the FCA Handbook, and how your background aligns with the needs of the Compliance team.
Proofread Your Application: Before submitting, carefully proofread your CV and cover letter for any errors or typos. A polished application reflects your attention to detail, which is crucial in compliance roles.
How to prepare for a job interview at Compliance Recruitment Solutions
✨Know Your Regulations
Make sure you have a solid understanding of the regulatory policies and procedures relevant to retail investments and pensions. Brush up on the FCA Handbook and Consumer Duty, as these will likely come up during your interview.
✨Demonstrate Advisory Experience
Be prepared to discuss your previous experience in advising on compliance policies and standard operating procedures. Share specific examples of how you've successfully navigated regulatory changes or resolved compliance issues in the past.
✨Showcase Your Teamwork Skills
This role involves working closely with various teams, including the Compliance lead and Risk Business Partner. Highlight your ability to collaborate effectively and support cross-functional projects, as this will be crucial for success in the position.
✨Prepare Questions
Have a few insightful questions ready to ask at the end of your interview. This shows your genuine interest in the role and the company, and it gives you a chance to learn more about their compliance culture and future initiatives.
