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- Tasks: Ensure compliance with regulations and support advisers in delivering top-notch client outcomes.
- Company: Established IFA firm in Manchester with a focus on quality and growth.
- Benefits: Competitive salary, professional development, and a supportive team environment.
- Why this job: Join a key role in shaping compliance standards and making a real impact.
- Qualifications: Level 4 Diploma in Financial Planning and experience in compliance within finance.
- Other info: Dynamic workplace with opportunities for career advancement.
The predicted salary is between 36000 - 60000 £ per year.
An established and growing Independent Financial Adviser (IFA) firm based in Manchester is seeking an experienced Senior Compliance Manager to join its Compliance team. This is a key role supporting the Compliance Director and wider business in maintaining high regulatory standards and delivering positive client outcomes. The successful candidate will play a central role in quality assurance, adviser oversight, and the ongoing development of compliance frameworks, while acting as a trusted point of reference across the firm.
Role & Responsibilities:
- Conduct comprehensive file reviews across pensions, investments, protection, and other regulated products.
- Identify advice quality issues and provide constructive feedback and recommendations.
- Maintain and develop internal compliance policies, procedures, and monitoring programmes.
- Oversee the firm's risk management practices and assist in regulatory reporting.
- Provide day-to-day compliance support to advisers and staff, including technical and regulatory guidance.
- Monitor and interpret FCA rules, ensuring timely updates to the business.
- Lead compliance training sessions and help embed a strong compliance culture.
- Support the preparation for FCA audits, thematic reviews, and internal compliance assessments.
- Assist with complaint handling, financial promotions review, and general compliance oversight duties.
Do you have the following to apply?
- Minimum Level 4 Diploma in Financial Planning (or equivalent).
- Proven experience in a compliance role within an IFA, wealth management, or financial planning environment.
- Demonstrated expertise in file reviews and advice quality assessments.
Due to the high volume of applications received we are unable to respond to everyone directly. If you are not contacted within 7 working days, you have unfortunately not been shortlisted.
Senior Compliance Manager in Manchester employer: Clayton Davies Ltd
Contact Detail:
Clayton Davies Ltd Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Senior Compliance Manager in Manchester
✨Tip Number 1
Network like a pro! Reach out to your connections in the finance and compliance sectors. Attend industry events or webinars to meet potential employers and get your name out there. Remember, it’s all about who you know!
✨Tip Number 2
Prepare for interviews by brushing up on FCA rules and compliance frameworks. Be ready to discuss your experience with file reviews and quality assessments. Show them you’re not just a candidate, but the perfect fit for their compliance culture.
✨Tip Number 3
Don’t forget to follow up after interviews! A quick thank-you email can go a long way. It shows your enthusiasm for the role and keeps you fresh in their minds as they make their decision.
✨Tip Number 4
Apply through our website for the best chance at landing that Senior Compliance Manager role. We want to see your application and help you take the next step in your career!
We think you need these skills to ace Senior Compliance Manager in Manchester
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Senior Compliance Manager role. Highlight your experience in compliance, especially within an IFA or financial planning environment. We want to see how your skills match what we're looking for!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're the perfect fit for our team. Share specific examples of your past work in compliance and how you’ve contributed to maintaining high regulatory standards.
Showcase Your Qualifications: Don’t forget to mention your Level 4 Diploma in Financial Planning or equivalent qualifications. We’re keen on seeing how your educational background supports your practical experience in compliance.
Apply Through Our Website: We encourage you to apply through our website for a smoother application process. It helps us keep everything organised and ensures your application gets the attention it deserves!
How to prepare for a job interview at Clayton Davies Ltd
✨Know Your Compliance Stuff
Make sure you brush up on the latest FCA rules and regulations. Being able to discuss specific compliance frameworks and how they apply to the role will show that you're not just familiar with the basics, but that you’re genuinely engaged with the industry.
✨Showcase Your Experience
Prepare examples from your past roles where you've conducted file reviews or provided feedback on advice quality. Use the STAR method (Situation, Task, Action, Result) to structure your answers, making it easy for the interviewer to see your impact.
✨Demonstrate Your Training Skills
Since leading compliance training sessions is part of the job, think about how you would approach this. Be ready to discuss any previous experience you have in training others and how you would foster a strong compliance culture within the firm.
✨Ask Insightful Questions
Prepare thoughtful questions about the firm's compliance challenges and how they measure success. This shows that you’re not only interested in the role but also in contributing to the firm’s goals and understanding their unique compliance landscape.