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For Companies At a Glance
- Tasks: Provide regulatory guidance and practical advice to teams while managing compliance policies.
- Company: Leading UK IFA/wealth management firm with a hybrid work model.
- Benefits: Competitive salary, flexible working, and opportunities for professional growth.
- Why this job: Make a real impact in compliance and support a dynamic team in a thriving industry.
- Qualifications: 5+ years of compliance advisory experience and strong stakeholder engagement skills.
- Other info: Join a collaborative environment with excellent career advancement opportunities.
The predicted salary is between 48000 - 72000 £ per year.
A leading UK IFA/wealth management firm is looking for a Senior Compliance Advisory Manager who will support and deputise the Head of Compliance Advisory. This is a broad, generalist compliance role that will assist in providing regulatory guidance across the business and delivering practical technical advice to first-line teams.
Key Responsibilities
- Maintain compliance policies and deliver training.
- Manage incidents, root-cause analysis and control improvements.
- Oversee financial promotions and provide second-line approvals.
- Manage introducer due diligence and approvals.
- Oversee compliance for appointed representatives.
- Support DSAR processes and FCA reporting requirements.
- Deputise for the Head of Compliance Advisory on projects and governance matters.
What We’re Looking For
- Minimum 5 years’ compliance advisory experience, with financial planning experience essential.
- Experience operating in a generalist compliance environment.
- Strong stakeholder engagement and relationship-building skills.
- In-depth knowledge of COBS and how Conduct of Business rules apply specifically to financial planning firms.
- Strong knowledge of the FCA Handbook (COBS, SYSC, DISP).
Senior Compliance Advice Manager employer: Broadgate
Contact Detail:
Broadgate Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Senior Compliance Advice Manager
✨Tip Number 1
Network like a pro! Reach out to your connections in the compliance and financial planning sectors. Attend industry events or webinars to meet potential employers and get your name out there.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of COBS and the FCA Handbook. Be ready to discuss how your experience aligns with the role and how you can add value to their compliance team.
✨Tip Number 3
Showcase your stakeholder engagement skills! During interviews, share examples of how you've built relationships and managed compliance issues effectively in previous roles.
✨Tip Number 4
Don't forget to apply through our website! We want to see your application and help you land that Senior Compliance Advisory Manager role. It's a great way to ensure your CV gets the attention it deserves.
We think you need these skills to ace Senior Compliance Advice Manager
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Senior Compliance Advisory Manager role. Highlight your compliance advisory experience and any relevant financial planning expertise. We want to see how your background aligns with what we’re looking for!
Showcase Your Skills: Don’t just list your skills; demonstrate them! Use specific examples from your past roles that showcase your stakeholder engagement and relationship-building abilities. This will help us see how you can fit into our team.
Be Clear and Concise: When writing your application, keep it clear and concise. We appreciate straightforward communication, so avoid jargon and get straight to the point about your qualifications and experiences.
Apply Through Our Website: We encourage you to apply through our website for a smoother process. It’s the best way for us to receive your application and ensures you don’t miss out on any important updates from us!
How to prepare for a job interview at Broadgate
✨Know Your Compliance Stuff
Make sure you brush up on your knowledge of the FCA Handbook, especially COBS, SYSC, and DISP. Be ready to discuss how these regulations apply to financial planning firms, as this will show your expertise and confidence in the role.
✨Showcase Your Stakeholder Skills
Prepare examples of how you've successfully engaged with stakeholders in the past. Think about specific situations where you built relationships or resolved conflicts, as this will demonstrate your strong relationship-building skills that are crucial for the position.
✨Be Ready for Scenario Questions
Expect scenario-based questions that test your problem-solving abilities. Practice articulating how you would handle incidents, conduct root-cause analysis, and implement control improvements. This will help you showcase your practical approach to compliance challenges.
✨Demonstrate Your Training Experience
Since maintaining compliance policies and delivering training is part of the job, be prepared to discuss your experience in these areas. Share specific examples of training sessions you've conducted and how they improved compliance understanding within teams.
