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- Tasks: Lead UK regulatory compliance, prepare reports, and manage audits.
- Company: Join a leading firm focused on wealth management and regulatory excellence.
- Benefits: Enjoy competitive pay, flexible working options, and professional development opportunities.
- Why this job: Make an impact in compliance while working with industry experts in a dynamic environment.
- Qualifications: 7+ years in compliance at a UK regulated bank or investment firm required.
- Other info: This is a 6-month fixed-term contract with potential for extension.
The predicted salary is between 48000 - 72000 £ per year.
The Regulatory Compliance function is a second line of defence role function.
Key Responsibilities
- Provide UK regulatory compliance expertise and advice
- Implement and update the Company’s Regulatory Compliance Policies and Procedures
- Prepare Regulatory Compliance reports, including reports to management and the Head Office, and other materials as required
- Assist with special projects
- Identify and assess UK regulatory compliance risks and impact from new projects, products/services or arising from new regulations
- Act as a focal point of contact with the FCA
- Maintain knowledge and awareness of key regulatory changes related to Regulatory Compliance matters impacting the business, including review of relevant local consultation papers, discussion papers, guidance, policy statements, thematic reviews, and enforcement cases
- Resolve and follow up any issues raised by the regulators in relation to regulatory compliance matters
- Plan and manage all regulatory and internal audit requirements for regulatory compliance
- Develop annual compliance risk assessment and compliance monitoring plan to ensure the objectives are monitored periodically and ensure local monitoring and follow up
- Perform compliance monitoring in accordance with the compliance monitoring plan
- Advise stakeholders on regulatory requirements and industry guidelines/practices as set by the FCA
Experience
- At least 7 years’ relevant experience at a UK regulated bank, investment firm or Wealth Manager in a second line of defence role
- Excellent working knowledge and experience of developing compliance policies to ensure compliance with the applicable UK regulations
- Strong knowledge with the FCA Handbook and ability to read and interpret rules and apply fact pattern to the rules
Wealth Compliance Manager - 6 Month FTC employer: Austin Andrew
Contact Detail:
Austin Andrew Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Wealth Compliance Manager - 6 Month FTC
✨Tip Number 1
Network with professionals in the wealth management and compliance sectors. Attend industry events or webinars where you can meet people who work in similar roles. This can help you gain insights into the company culture and possibly get a referral.
✨Tip Number 2
Stay updated on the latest regulatory changes and compliance trends in the UK. Subscribe to relevant newsletters or follow key regulatory bodies like the FCA on social media. This knowledge will not only prepare you for interviews but also demonstrate your commitment to the field.
✨Tip Number 3
Prepare to discuss specific examples from your past experience that showcase your ability to handle compliance issues, especially in a second line of defence role. Think about challenges you've faced and how you resolved them, as this will highlight your problem-solving skills.
✨Tip Number 4
Familiarise yourself with StudySmarter's values and mission. Tailor your conversations during interviews to reflect how your experience aligns with our goals, particularly in enhancing regulatory compliance within the wealth management sector.
We think you need these skills to ace Wealth Compliance Manager - 6 Month FTC
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your relevant experience in regulatory compliance, particularly within a UK regulated bank or investment firm. Emphasise your knowledge of the FCA Handbook and any specific compliance policies you've developed.
Craft a Strong Cover Letter: In your cover letter, clearly articulate your understanding of the role and how your background aligns with the key responsibilities. Mention specific examples of how you've successfully managed compliance risks or implemented compliance policies in previous roles.
Highlight Relevant Experience: When detailing your work history, focus on your experience in second line of defence roles. Include quantifiable achievements that demonstrate your ability to assess compliance risks and manage regulatory requirements effectively.
Showcase Continuous Learning: Mention any recent training or certifications related to regulatory compliance. This shows your commitment to staying updated with key regulatory changes and enhances your credibility as a candidate.
How to prepare for a job interview at Austin Andrew
✨Know Your Regulations
Make sure you have a solid understanding of the FCA Handbook and UK regulatory compliance. Brush up on recent changes and be prepared to discuss how they might impact the company.
✨Showcase Your Experience
With at least 7 years in a second line of defence role, highlight specific examples from your past work that demonstrate your expertise in developing compliance policies and managing regulatory risks.
✨Prepare for Scenario Questions
Expect questions that ask how you would handle specific compliance scenarios or regulatory challenges. Think through potential situations and your approach to resolving them effectively.
✨Engage with the Interviewers
Don’t just answer questions; engage with your interviewers. Ask insightful questions about their current compliance challenges and how you can contribute to their goals.
