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- Tasks: Join a vibrant team as a Compliance Officer, guiding compliance strategies and ensuring regulatory adherence.
- Company: Be part of a well-established Manchester firm in the wealth management sector, focused on growth.
- Benefits: Opportunity for future advancement to SMF 16 role and a supportive, engaged management team.
- Why this job: Shape the firm's compliance future while working in a dynamic environment with a young team.
- Qualifications: Experience in compliance, knowledge of regulatory policies, and strong communication skills required.
- Other info: Engage in meetings and presentations, making a real impact on the firm's compliance culture.
The predicted salary is between 36000 - 60000 £ per year.
Job Description: This is an exciting opportunity to join a well-established Manchester based firm operating in the wealth management space who are seeking an experienced Compliance Officer to support their next period of growth. For the right candidate this in an excellent opportunity to help shape the firms future compliance strategy and offers the opportunity to become the SMF 16 role holder in the future. A young and vibrant team led by a senior management team who are engaged and very active within the firm. The role will involve taking responsibility for the following; Responsible for providing expert compliance advice and guidance to the directors and staff within the business, ensuring adherence to regulatory requirements and promoting a culture of compliance within the business. The Compliance Officer will require the requisite knowledge and skills to review and update regulatory policies and procedures, handle FCA technical queries, monitor regulatory changes, conduct file reviews, and contribute to staff and board meetings and publications. Stay updated on regulatory changes and proactively communicate them to colleagues. Conduct comprehensive file reviews to ensure that the firm’s advice is compliant and delivers good outcomes for clients. To identify areas for improvement and implement necessary changes. Engage with all colleagues through meetings, presentations, and …
Compliance Officer employer: Clayton Davies Ltd
Contact Detail:
Clayton Davies Ltd Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Officer
✨Tip Number 1
Familiarize yourself with the latest FCA regulations and compliance frameworks relevant to wealth management. This knowledge will not only help you in interviews but also demonstrate your commitment to staying updated in a rapidly changing regulatory environment.
✨Tip Number 2
Network with professionals in the compliance field, especially those working in wealth management. Attend industry events or join online forums to connect with others who can provide insights into the role and potentially refer you to opportunities.
✨Tip Number 3
Prepare to discuss specific examples of how you've successfully implemented compliance strategies or improved processes in previous roles. Highlighting your practical experience will set you apart from other candidates.
✨Tip Number 4
Show enthusiasm for the firm's culture and values during your interactions. Research the company’s mission and recent developments to express genuine interest in contributing to their compliance strategy and overall success.
We think you need these skills to ace Compliance Officer
Some tips for your application 🫡
Understand the Role: Take the time to thoroughly read the job description for the Compliance Officer position. Understand the key responsibilities and required skills, as this will help you tailor your application to highlight relevant experiences.
Highlight Relevant Experience: In your CV and cover letter, emphasize your previous experience in compliance roles, particularly in wealth management or similar sectors. Provide specific examples of how you've successfully navigated regulatory requirements and contributed to compliance strategies.
Showcase Your Knowledge: Demonstrate your understanding of current regulatory frameworks and changes that impact the industry. Mention any relevant certifications or training that showcase your expertise in compliance matters.
Personalize Your Application: Address your cover letter to the hiring manager if possible, and express your enthusiasm for joining a young and vibrant team. Mention how you can contribute to shaping the firm's compliance strategy and fostering a culture of compliance.
How to prepare for a job interview at Clayton Davies Ltd
✨Show Your Compliance Knowledge
Make sure to brush up on the latest regulatory requirements and compliance frameworks relevant to the wealth management sector. Being able to discuss recent changes and how they impact the firm will demonstrate your expertise and proactive approach.
✨Prepare for Scenario Questions
Expect scenario-based questions where you may need to provide compliance advice in hypothetical situations. Practice articulating your thought process clearly, focusing on how you would ensure adherence to regulations while promoting a culture of compliance.
✨Highlight Your Communication Skills
As a Compliance Officer, you'll need to engage with various stakeholders. Be prepared to discuss your experience in conducting meetings, presentations, and how you've effectively communicated complex compliance issues to non-compliance staff.
✨Demonstrate a Proactive Mindset
Share examples of how you've identified areas for improvement in previous roles and implemented changes. This will show that you're not just reactive but also proactive in enhancing compliance processes and ensuring good outcomes for clients.
