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- Tasks: Manage compliance, conduct audits, and support the sales team in best practices.
- Company: Join a growing wealth management firm with big ambitions in Sheffield.
- Benefits: Enjoy a competitive salary, 8% pension, and 25 days holiday plus stats.
- Why this job: Be part of a dynamic team, develop junior advisers, and make a real impact.
- Qualifications: Must have QCF level 4 Diploma and experience in internal compliance.
- Other info: Office-based role with some flexibility for working from home.
The predicted salary is between 40000 - 60000 £ per year.
The Company: A regionally sized yet expanding wealth management firm with aspirations to add advise headcount across the next 12-months are looking to bring in a Compliance Manager to take on a broad internal compliance role - This is inclusive of file review, T&C and some business operations involvement too.
Office Location: Central Sheffield
Working Setup: Office based in the main with some flex to WFHP
Package: £50-60k base DOE + discretionary bonus & benefits
Key Benefits: 8% pension, 4xDIS plus wider company benefits
Holidays: 25 days holiday + stats
The Role: An internal compliance role/remit spanning internal audit, T&C, governance and compliance oversight for the group. Duties include:
- Ensure appropriate advice and sales procedures are in place for all business areas and these are followed
- Ensures all employees who undertake distribution activities meet the FCA expectations in terms of knowledge, ability and repute
- Regularly review the relevant individual’s client files as required by the firms’ relevant procedures
- Checks as above but monitor checks for adherence to T&C scheme
- Completion risk assessments of all advisers
- T&C Scheme - Manage and implement and ensure adequate records are being maintained
- Make sure all retail investment advisers hold PFS
- Coach and develop junior advisers to attain competency including observations.
- Conduct regular 1:1s with all Advisers ensuring behaviours and KPI’s are on track.
- Complete all necessary changes/updates/applications to the FCA Directory/Register
- Regular audit of processes to ensure being adhered to
- Support the Sales Team in adhering to all best practices and processes.
The Person: You must be QCF level 4 Diploma qualified and be coming from an IFA/wealth management background. This is an all-encompassing compliance type role covering Adviser Compliance and T&C, so the motivation (and experience) to take on a broad yet exciting remit is essential:
- Required: Experience within internal compliance in a private wealth advice setting
- Required: File checking experience and prior adviser T&C/T&D responsibilities
- Preferred: Adviser onboarding and induction experience
What next? Please send CV applications to Chris at CB3 Associates Ltd to be reviewed inside 24 hours. For further opportunities that might suit you, please visit the website: www.cb3associates.co.uk
Compliance Manager employer: CB3 Associates Ltd
Contact Detail:
CB3 Associates Ltd Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Manager
✨Tip Number 1
Familiarise yourself with the FCA regulations and compliance standards specific to wealth management. This knowledge will not only help you in interviews but also demonstrate your commitment to the role.
✨Tip Number 2
Network with professionals in the compliance field, especially those working in wealth management. Attend industry events or join relevant online forums to connect with potential colleagues and learn about the latest trends.
✨Tip Number 3
Prepare to discuss your experience with file reviews and T&C responsibilities in detail. Be ready to provide examples of how you've ensured compliance and improved processes in previous roles.
✨Tip Number 4
Showcase your coaching and development skills by preparing examples of how you've helped junior advisers grow in their roles. Highlighting this experience can set you apart as a candidate who can contribute to team development.
We think you need these skills to ace Compliance Manager
Some tips for your application 🫡
Understand the Role: Before applying, make sure you fully understand the responsibilities of a Compliance Manager in a wealth management firm. Familiarise yourself with terms like T&C, FCA expectations, and file review processes.
Tailor Your CV: Highlight your relevant experience in internal compliance, particularly within private wealth advice settings. Emphasise your qualifications, such as the QCF level 4 Diploma, and any specific achievements related to compliance and adviser training.
Craft a Compelling Cover Letter: Write a cover letter that showcases your motivation for the role and your understanding of the compliance landscape in wealth management. Mention your experience with file checking and adviser onboarding, and how you can contribute to the firm's goals.
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 for a Compliance Manager.
How to prepare for a job interview at CB3 Associates Ltd
✨Know Your Compliance Fundamentals
Make sure you have a solid understanding of compliance regulations, especially those relevant to the wealth management sector. Brush up on FCA guidelines and be prepared to discuss how you've applied these in your previous roles.
✨Demonstrate Your Coaching Skills
Since the role involves coaching junior advisers, think of examples where you've successfully developed others. Be ready to share specific instances where your guidance led to improved performance or compliance adherence.
✨Prepare for Scenario-Based Questions
Expect questions that assess your problem-solving skills in compliance scenarios. Prepare to discuss how you would handle specific compliance challenges, such as file reviews or risk assessments, to showcase your analytical thinking.
✨Show Enthusiasm for Continuous Improvement
Express your commitment to ongoing professional development, both for yourself and your team. Highlight any relevant training or certifications you've pursued and how you plan to stay updated with industry changes.
