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- Tasks: Lead compliance advisory support and ensure regulatory obligations are met.
- Company: National IFA firm with a strong governance framework.
- Benefits: Competitive salary, bonus, and comprehensive benefits package.
- Why this job: Join a key leadership role and influence compliance across the business.
- Qualifications: Extensive compliance experience in financial planning or wealth management.
- Other info: Hybrid working model with opportunities for professional growth.
The predicted salary is between 84000 - 116000 £ per year.
Our client is a national IFA firm who are looking for an experienced Senior Compliance Advisory Manager to strengthen their governance framework and act as the main business partner for compliance support to the financial planning side of the business. This is a key leadership role within their Compliance team, providing expert guidance and oversight to ensure the firm meets all regulatory obligations.
Role & Responsibilities:
- Provide expert compliance and regulatory advisory support across the business, with a focus on financial planning and retail investment advice.
- Lead the interpretation and implementation of FCA rules, guidance, and policy changes, ensuring controls and processes remain robust.
- Act as a key point of contact for advisers, delivering clear guidance on complex compliance matters.
- Oversee thematic reviews, policy updates, and risk assessments.
- Influence and challenge senior stakeholders to ensure the firm operates within risk appetite and regulatory expectations.
- Lead or support regulatory projects and strategic initiatives across the business.
Do you have the following to apply?
- Extensive compliance experience within an IFA, wealth management, or financial planning environment.
- Strong understanding of Conduct Rules is essential.
- Proven ability to interpret complex regulatory requirements and translate them into practical business solutions.
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.
Clayton Davies is acting as an employment agency on behalf of our client.
Senior Compliance Advisory Manager in City of London employer: Clayton Davies
Contact Detail:
Clayton Davies Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Senior Compliance Advisory Manager in City of London
✨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 FCA rules and recent regulatory changes. Show that you can not only interpret these but also apply them practically in a business context.
✨Tip Number 3
Don’t just wait for job postings; proactively reach out to firms you admire. Express your interest in their compliance teams and how you can add value, even if they aren’t actively hiring.
✨Tip Number 4
Use our website to apply directly for roles. It’s a great way to ensure your application gets seen by the right people, and we love seeing candidates who take the initiative!
We think you need these skills to ace Senior Compliance Advisory Manager in City of London
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Senior Compliance Advisory Manager role. Highlight your extensive compliance experience and any specific achievements in financial planning or wealth management that align with the job description.
Craft a Compelling Cover Letter: Your cover letter should tell us why you're the perfect fit for this role. Use it to showcase your understanding of FCA rules and how you've successfully implemented them in previous roles. Keep it concise but impactful!
Showcase Your Leadership Skills: Since this is a key leadership role, don’t forget to highlight your experience in influencing and challenging senior stakeholders. Share examples of how you've led projects or initiatives that improved compliance processes.
Apply Through Our Website: We encourage you to apply through our website for a smoother application process. It helps us keep track of your application and ensures you’re considered for the role without any hiccups!
How to prepare for a job interview at Clayton Davies
✨Know Your Compliance Stuff
Make sure you brush up on the latest FCA rules and regulations. Being able to discuss how these impact financial planning and retail investment advice will show that you're not just familiar with compliance, but that you can apply it practically.
✨Prepare Real-World Examples
Think of specific situations where you've successfully navigated complex compliance issues. Be ready to share these examples during your interview to demonstrate your problem-solving skills and your ability to influence stakeholders.
✨Understand the Business
Research the firm’s governance framework and their approach to compliance. Showing that you understand their business model and how compliance fits into it will help you stand out as a candidate who is genuinely interested in the role.
✨Ask Insightful Questions
Prepare thoughtful questions about the firm's compliance challenges and strategic initiatives. This not only shows your interest but also gives you a chance to demonstrate your expertise and how you can contribute to their goals.
