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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 and opportunities for professional growth.
- Why this job: Make a real impact by enhancing compliance culture and driving continuous improvement in a dynamic environment.
- Qualifications: Must have a Level 4 Diploma in Financial Planning and previous compliance experience in an IFA firm.
- Other info: This role is crucial for maintaining operational excellence and regulatory compliance.
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 (Leeds) employer: Clayton Davies
Contact Detail:
Clayton Davies Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance and Operations Manager (Leeds)
✨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 gain insights and potentially get referrals.
✨Tip Number 3
Prepare to discuss specific examples of how you've improved operational processes or compliance measures in previous roles. Highlighting your achievements can 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 (Leeds)
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 Level 4 Diploma in Financial Planning and any specific achievements related to regulatory oversight.
Craft a Compelling Cover Letter: Write a cover letter that directly addresses the key responsibilities outlined in the job description. Showcase your understanding of FCA compliance and your ability to lead paraplanning and administration teams effectively.
Highlight Relevant Skills: In your application, focus on skills such as quality assurance, risk assessment, and operational efficiency. Provide examples of how you've successfully implemented compliance policies or improved service delivery in previous roles.
Proofread Your Application: Before submitting, carefully proofread your application for any spelling or grammatical errors. A polished application reflects your attention to detail, which is crucial for a Compliance and Operations Manager role.
How to prepare for a job interview at Clayton Davies
✨Know Your Compliance Stuff
Make sure you brush up on FCA regulations and compliance policies relevant to the role. Being able to discuss specific compliance frameworks and how they apply to the operations of an IFA firm will show your expertise and readiness for the position.
✨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, particularly in a compliance or operational context. Highlight your ability to align team goals with regulatory expectations.
✨Showcase Problem-Solving Abilities
Be ready to discuss how you've handled compliance-related queries or operational challenges in previous roles. Providing concrete examples of how you identified issues and implemented corrective actions will demonstrate your proactive approach.
✨Prepare for Scenario Questions
Expect scenario-based questions that assess your decision-making skills in compliance situations. Think about potential compliance vulnerabilities and how you would address them, as well as how you would conduct audits and risk assessments.
