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For Companies At a Glance
- Tasks: Lead compliance and operations, ensuring regulatory standards and efficient support functions.
- Company: Join a national IFA firm committed to regulatory integrity and quality service delivery.
- Benefits: Enjoy a competitive salary of £65,000 plus benefits, including potential remote work options.
- Why this job: Make a real impact on compliance culture while driving continuous improvement in a supportive environment.
- Qualifications: Must have a Level 4 Diploma in Financial Planning and prior compliance experience in an IFA firm.
- Other info: Be part of a dynamic team focused on enhancing operational processes and adviser productivity.
The predicted salary is between 52000 - 78000 £ per year.
Our client is a national IFA firm who are looking for an experienced Compliance and Operations Manager to join the business. This is an important role that combines regulatory oversight with operational leadership, ensuring both FCA compliance and the effective delivery of support functions across paraplanning and administration. This is a key position to maintain regulatory integrity, enhance quality assurance, and drive continuous improvement in service delivery.
Role & Responsibilities:
- Support the development and implementation of comprehensive compliance policies and procedures throughout the organisation such as T&C, advice framework, horizon scanning, etc.
- Line manage the paraplanning and administration teams, ensuring alignment with regulatory expectations and internal standards.
- Monitor workload allocation and workflow efficiencies to support adviser output.
- Conduct quality reviews of paraplanning and administration outputs to ensure suitability and consistency.
- Act as the central point for resolving operational and compliance-related queries.
- Ensure SLAs and key operational metrics are consistently met.
- Maintain and improve operational processes to support business growth and adviser productivity.
- Conduct regular audits and risk assessments to identify potential areas of compliance vulnerability and risk; develop/implement corrective action plans for resolution.
- Provide advice and guidance on the interpretation of regulatory requirements and their implications for business operations.
- Conduct compliance training sessions for employees to ensure company-wide awareness and understanding of compliance policies and regulatory requirements.
- Manage and report on the handling of complaints in accordance with FCA guidelines, ensuring effective resolution.
- Support all communications and reporting requirements with the FCA and other regulatory bodies.
- Act as liaison and maintain effective relationships with third party compliance support services.
- Embed and support a compliance culture within the organisation and contribute to strategic planning from a regulatory perspective.
Do you have the following to apply?
- Minimum Level 4 Diploma in Financial Planning (or equivalent)
- Previous Compliance experience in an IFA firm.
- Knowledge of both Paraplanning and Administration teams within an IFA firm.
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.
Compliance and Operations Manager employer: Clayton Davies
Contact Detail:
Clayton Davies Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance and Operations Manager
✨Tip Number 1
Familiarise yourself with the latest FCA regulations and compliance standards relevant to IFA firms. This knowledge will not only help you in interviews but also demonstrate your commitment to maintaining regulatory integrity.
✨Tip Number 2
Network with professionals in the compliance and operations field, especially those who have experience in IFA firms. Attend industry events or join relevant online forums to build connections that could lead to valuable insights or referrals.
✨Tip Number 3
Prepare to discuss specific examples of how you've successfully managed compliance issues or improved operational processes in previous roles. Highlighting your hands-on experience will set you apart from other candidates.
✨Tip Number 4
Research the company’s current compliance policies and any recent news related to their operations. Being informed about their practices will allow you to ask insightful questions during the interview, showcasing your genuine interest in the role.
We think you need these skills to ace Compliance and Operations Manager
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in compliance and operations management, particularly within an IFA firm. Emphasise your knowledge of regulatory requirements and any specific achievements that demonstrate your ability to enhance quality assurance and service delivery.
Craft a Compelling Cover Letter: In your cover letter, express your passion for compliance and operational excellence. Discuss how your previous roles have prepared you for this position, focusing on your experience with T&C policies, managing teams, and conducting audits. Be sure to mention your Level 4 Diploma in Financial Planning.
Showcase Relevant Skills: Highlight key skills that are essential for the role, such as leadership, communication, and analytical abilities. Provide examples of how you've successfully managed compliance-related queries or improved operational processes in past positions.
Follow Application Instructions: Ensure you carefully follow any specific application instructions provided in the job listing. This may include submitting your application through a particular platform or including certain documents. Attention to detail is crucial in compliance roles!
How to prepare for a job interview at Clayton Davies
✨Know Your Compliance Stuff
Make sure you brush up on your knowledge of FCA regulations and compliance policies. Be prepared to discuss how you've implemented compliance measures in previous roles, as this will show your understanding of the regulatory landscape.
✨Demonstrate Leadership Skills
As a Compliance and Operations Manager, you'll be managing teams. Prepare examples of how you've successfully led teams in the past, focusing on how you ensured alignment with regulatory expectations and improved operational efficiency.
✨Showcase Your Problem-Solving Abilities
Be ready to discuss specific instances where you've identified compliance vulnerabilities and how you developed corrective action plans. This will highlight your proactive approach to risk management and your ability to think critically under pressure.
✨Prepare for Scenario Questions
Expect scenario-based questions that assess your decision-making skills in compliance-related situations. Think about how you would handle operational queries or manage complaints in line with FCA guidelines, as this will demonstrate your practical knowledge.
