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- Tasks: Lead compliance initiatives and ensure adherence to regulatory standards.
- Company: Dynamic financial services firm in London with a focus on excellence.
- Benefits: Competitive salary, professional development, and a supportive work environment.
- Why this job: Make a real impact by ensuring compliance and service excellence.
- Qualifications: CII Level 4 Diploma in Financial Services or relevant compliance qualifications.
- Other info: Opportunity for career growth in a fast-paced regulatory landscape.
The predicted salary is between 36000 - 60000 £ per year.
Our client is seeking an experienced Compliance Manager to lead and develop their Compliance function. In this role, you will help ensure the business consistently delivers service excellence while operating to the highest regulatory and operational standards.
Key Responsibilities
- Work closely with the Head of Risk to identify areas of the business requiring Compliance oversight, ensuring adherence to regulatory requirements and industry best practice.
- Develop and implement a robust monitoring framework to maintain compliance standards, taking corrective action where needed.
- Maintain accurate, detailed, and up-to-date compliance records across the organisation, providing regular risk-based reports to the Head of Risk.
- Design, deliver, and manage compliance training and testing programmes for all staff—including areas such as Anti-Money Laundering and Treating Customers Fairly—along with producing relevant training materials.
- Manage regulatory reporting, including liaising with the FCA and submitting required returns.
- Review and approve Financial Promotions to ensure compliance with business and regulatory expectations.
- Oversee the Anti-Money Laundering system, reviewing alerts and escalating issues to the Head of Risk as appropriate.
- Monitor changes within the regulatory landscape, assess potential impact on the business, and collaborate with the Head of Risk to develop mitigation plans.
Qualifications and Skills
- CII Level 4 Diploma in Financial Services and/or relevant compliance qualifications.
- Strong ability to monitor transactions and business processes, identifying and implementing remedial action when required.
- Advanced report-writing skills in line with regulatory standards.
- Proven ability to work independently, proactively, and with sound judgement.
- Excellent time management, organisational and research skills.
- Ability to offer balanced, constructive feedback to maintain high compliance and quality standards.
- Strong stakeholder management and relationship-building skills.
- Effective decision-making skills with consideration for varied stakeholder needs.
- Open, honest communication style and the ability to build strong working relationships.
- Ability to interpret complex technical information and provide clear recommendations in line with new regulatory requirements.
COMPLIANCE MANAGER - LONDON employer: Artemis Recruitment Consultants Ltd
Contact Detail:
Artemis Recruitment Consultants Ltd Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land COMPLIANCE MANAGER - LONDON
✨Tip Number 1
Network like a pro! Reach out to your connections in the compliance field and let them know you're on the hunt for a Compliance Manager role. You never know who might have the inside scoop on job openings or can put in a good word for you.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of regulatory requirements and industry best practices. We recommend creating a cheat sheet of key topics to discuss, so you can confidently showcase your expertise when it counts.
✨Tip Number 3
Don’t forget to tailor your approach! When you apply through our website, make sure to highlight your relevant experience in compliance oversight and training programmes. This will help you stand out as the perfect fit for the role.
✨Tip Number 4
Follow up after interviews! A quick thank-you email can go a long way in showing your enthusiasm for the position. Plus, it gives you another chance to reiterate why you're the ideal candidate for the Compliance Manager role.
We think you need these skills to ace COMPLIANCE MANAGER - LONDON
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Compliance Manager role. Highlight your relevant experience and skills that match the job description, especially around compliance oversight and regulatory standards.
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're the perfect fit for the role. Mention specific examples of how you've successfully managed compliance in the past and how you can bring that expertise to us.
Showcase Your Qualifications: Don’t forget to mention your CII Level 4 Diploma or any other relevant qualifications. We want to see how your educational background supports your ability to excel in this role.
Apply Through Our Website: We encourage you to apply directly through our website. It’s the best way for us to receive your application and ensures you’re considered for the role without any hiccups!
How to prepare for a job interview at Artemis Recruitment Consultants Ltd
✨Know Your Compliance Stuff
Make sure you brush up on the latest regulatory requirements and industry best practices. Familiarise yourself with the FCA guidelines and be ready to discuss how you've implemented compliance measures in your previous roles.
✨Showcase Your Monitoring Skills
Prepare examples of how you've developed and implemented monitoring frameworks in the past. Be specific about the corrective actions you took when compliance standards were not met, as this will demonstrate your proactive approach.
✨Be Ready for Scenario Questions
Expect questions that test your decision-making skills in complex situations. Think of scenarios where you had to balance compliance with business needs, and be prepared to explain your thought process and the outcomes.
✨Highlight Your Training Experience
Since training is a key part of the role, come prepared with examples of compliance training programmes you've designed or delivered. Discuss how you tailored these programmes to meet the needs of different stakeholders and ensured understanding across the organisation.
