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- Tasks: Lead compliance and operations, ensuring FCA standards and quality assurance.
- Company: Join a national IFA firm committed to regulatory integrity and service excellence.
- Benefits: Enjoy a dynamic work environment with opportunities for professional growth and development.
- Why this job: Make a real impact on compliance culture while enhancing operational efficiency.
- Qualifications: Must have a Level 4 Diploma in Financial Planning and prior compliance experience.
- Other info: Be the go-to person for compliance queries and drive continuous improvement.
The predicted salary is between 36000 - 60000 £ 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.
- 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.
- 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.
- 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; 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.
Minimum Level 4 Diploma in Financial Planning (or equivalent). Previous Compliance experience in an IFA firm.
Compliance Monitoring Manager - Operations employer: Clayton Davies
Contact Detail:
Clayton Davies Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Monitoring Manager - Operations
✨Tip Number 1
Familiarise yourself with the latest FCA regulations and compliance frameworks 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. Engaging in conversations can provide insights into the role and may even lead to referrals.
✨Tip Number 3
Prepare to discuss specific examples of how you've implemented compliance policies or improved operational processes in previous roles. Real-life scenarios will showcase your expertise and problem-solving skills.
✨Tip Number 4
Stay updated on industry trends and challenges facing compliance in the financial sector. Being knowledgeable about current issues will allow you to engage in meaningful discussions during interviews and show your proactive approach.
We think you need these skills to ace Compliance Monitoring Manager - Operations
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in compliance and operations management. Emphasise your previous roles in IFA firms and any specific achievements related to regulatory oversight and operational leadership.
Craft a Compelling Cover Letter: In your cover letter, address the key responsibilities mentioned in the job description. Discuss how your skills align with their needs, particularly in developing compliance policies and conducting quality reviews.
Showcase Your Qualifications: Clearly state your Level 4 Diploma in Financial Planning or equivalent qualifications. Mention any additional certifications or training that demonstrate your commitment to compliance and operational excellence.
Highlight Your Leadership Skills: Since the role involves line managing teams, provide examples of your leadership experience. Discuss how you've successfully managed teams in the past and contributed to a culture of compliance within an organisation.
How to prepare for a job interview at Clayton Davies
✨Understand Regulatory Frameworks
Make sure you have a solid grasp of the FCA regulations and compliance requirements relevant to the role. Be prepared to discuss how you've navigated these in your previous positions, as this will demonstrate your expertise and readiness for the Compliance Monitoring Manager position.
✨Showcase Leadership Skills
As this role involves line management of paraplanning and administration teams, be ready to share examples of your leadership style. Discuss how you've successfully managed teams in the past, focusing on alignment with regulatory expectations and internal standards.
✨Prepare for Scenario-Based Questions
Expect questions that assess your problem-solving abilities in compliance-related scenarios. Think of specific instances where you've identified compliance vulnerabilities or improved operational processes, and be ready to explain your thought process and outcomes.
✨Emphasise Continuous Improvement
Highlight your commitment to enhancing quality assurance and service delivery. Discuss any initiatives you've led or been part of that focused on continuous improvement within compliance or operations, as this aligns with the company's goals.
