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- Tasks: Lead compliance activities and ensure adherence to regulatory standards in financial advice.
- Company: National financial advice business with a focus on compliance and risk management.
- Benefits: Competitive salary, professional development, and a collaborative work environment.
- Why this job: Make a real impact by ensuring compliance and shaping the future of financial advice.
- Qualifications: Strong knowledge of FCA regulations and experience in a financial advice environment.
- Other info: Fast-paced role with opportunities for growth and collaboration across business units.
The predicted salary is between 36000 - 60000 £ per year.
A senior compliance role responsible for leading and overseeing regulatory compliance activities within a national financial advice business. The position supports the development, delivery, and ongoing effectiveness of the Compliance Assurance Programme and broader risk management framework, ensuring adherence to regulatory standards governing retail financial advice.
Key Responsibilities
- Act as the primary compliance contact supporting a financial advice business operating within the retail client market.
- Design, implement, and maintain compliance assurance and internal control programmes aligned with regulatory permissions and risk frameworks.
- Provide independent oversight and assurance across compliance policies, procedures, and advisory processes, particularly those relating to client suitability and advice standards.
- Produce governance and risk reports for senior leadership and regulatory committees, highlighting compliance effectiveness, key risks, and remedial actions.
- Provide regulatory guidance to the business, supporting compliant product and service development.
- Monitor regulatory developments and evolving best practice impacting the financial advice and retail investment sectors.
- Support conduct risk oversight and promote strong compliance culture across business operations.
- Work collaboratively across business units to embed regulatory requirements into operational processes.
- Maintain oversight of key compliance policies and support governance committee activity.
Essential Experience & Knowledge
- Strong working knowledge of FCA regulations relating to financial advisers, particularly suitability of advice, client outcomes, and retail investment regulation.
- Demonstrable compliance experience within an Independent Financial Adviser (IFA) or financial advice environment.
- Understanding of the Principal and Appointed Representative regulatory model.
- Knowledge of key regulatory frameworks and legislation including FSMA and MiFID II.
- Experience working with retail client investment or wealth management services is highly desirable.
Skills & Capabilities
- Ability to interpret and communicate complex regulatory requirements to business stakeholders at all levels.
- Strong analytical and report-writing skills with the ability to translate regulatory risk into practical business solutions.
- Ability to operate in a fast-paced and evolving regulatory environment.
- Strong stakeholder management and collaboration skills.
- High ethical standards and strong focus on customer outcomes and regulatory integrity.
Compliance Oversight - Financial Advice (retail) in London employer: Bruin
Contact Detail:
Bruin Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Oversight - Financial Advice (retail) in London
✨Tip Number 1
Network like a pro! Reach out to industry professionals on LinkedIn or attend local finance events. We can’t stress enough how personal connections can open doors that applications alone can’t.
✨Tip Number 2
Prepare for interviews by researching the company’s compliance culture and recent regulatory changes. We want you to show that you’re not just a fit for the role, but that you’re genuinely interested in their mission and values.
✨Tip Number 3
Practice your responses to common compliance interview questions. We recommend using the STAR method (Situation, Task, Action, Result) to structure your answers and highlight your experience effectively.
✨Tip Number 4
Don’t forget to follow up after interviews! A quick thank-you email reiterating your interest can keep you top of mind. And remember, apply through our website for the best chance at landing that dream job!
We think you need these skills to ace Compliance Oversight - Financial Advice (retail) in London
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Compliance Oversight role. Highlight your experience with FCA regulations and compliance in the financial advice sector. We want to see how your skills align with our needs!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're passionate about compliance and how your background makes you a perfect fit for our team. We love seeing genuine enthusiasm!
Showcase Your Analytical Skills: Since this role involves a lot of report writing and risk analysis, make sure to showcase your analytical skills in your application. Give examples of how you've turned complex regulatory requirements into practical solutions in the past.
Apply Through Our Website: We encourage you to apply through our website for a smoother process. It helps us keep track of your application and ensures you don’t miss any important updates from us. We can’t wait to hear from you!
How to prepare for a job interview at Bruin
✨Know Your Regulations
Make sure you brush up on FCA regulations, especially those related to suitability of advice and client outcomes. Being able to discuss these confidently will show that you understand the compliance landscape and can navigate it effectively.
✨Showcase Your Experience
Prepare specific examples from your past roles in compliance within an IFA or financial advice environment. Highlight how you've designed or implemented compliance programmes and the impact they had on the business. This will demonstrate your hands-on experience and problem-solving skills.
✨Communicate Clearly
Practice explaining complex regulatory requirements in simple terms. You might be asked to communicate these to stakeholders at various levels, so being clear and concise is key. Consider role-playing with a friend to refine your delivery.
✨Emphasise Collaboration
Be ready to discuss how you've worked with different business units to embed regulatory requirements into operational processes. Share examples of successful collaborations that led to improved compliance culture, as this shows your ability to work well with others and drive change.
