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- Tasks: Lead compliance initiatives and provide expert guidance on regulatory obligations.
- Company: A growing wealth management firm in the UK with a focus on governance.
- Benefits: Competitive salary, leadership opportunities, and influence over senior stakeholders.
- Why this job: Make a real impact in shaping compliance strategies within a dynamic firm.
- Qualifications: Extensive compliance experience in IFA or wealth management and strong knowledge of Conduct Rules.
- Other info: Opportunity to lead in a key role with significant career advancement potential.
The predicted salary is between 48000 - 72000 £ per year.
A growing wealth management firm in the United Kingdom is seeking an experienced Senior Regulatory Compliance Manager to enhance their governance framework. This key leadership role involves providing expert compliance guidance and overseeing the implementation of regulatory obligations.
Candidates should have extensive experience in compliance within an IFA, wealth management, or financial planning, along with a strong understanding of Conduct Rules. This position offers a chance to influence senior stakeholders and lead regulatory initiatives.
Senior Regulatory Compliance Lead - Wealth Management in London employer: Clayton Davies
Contact Detail:
Clayton Davies Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Senior Regulatory Compliance Lead - Wealth Management in London
✨Tip Number 1
Network like a pro! Reach out to your connections in the wealth management sector and let them know you're on the lookout for opportunities. You never know who might have the inside scoop on a role that’s perfect for you.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of Conduct Rules and regulatory frameworks. We recommend creating a cheat sheet of key points to discuss, so you can impress those senior stakeholders with your expertise.
✨Tip Number 3
Don’t just apply anywhere; focus on firms that align with your values and career goals. Use our website to find roles that excite you and match your experience in compliance within wealth management.
✨Tip Number 4
Follow up after interviews! A quick thank-you email can go a long way in keeping you top of mind. Share a brief insight or idea related to the discussion to show your enthusiasm and expertise.
We think you need these skills to ace Senior Regulatory Compliance Lead - Wealth Management in London
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your experience in compliance within wealth management or financial planning. We want to see how your background aligns with the role, so don’t be shy about showcasing your expertise!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you’re the perfect fit for the Senior Regulatory Compliance Lead position. We love seeing candidates who can articulate their understanding of Conduct Rules and how they’ve applied them in previous roles.
Showcase Leadership Skills: Since this is a key leadership role, make sure to highlight any experience you have influencing senior stakeholders or leading regulatory initiatives. We’re looking for someone who can take charge and drive compliance efforts forward!
Apply Through Our Website: We encourage you to apply directly through our website. It’s the best way for us to receive your application and ensures you’re considered for the role. Plus, it shows us you’re keen on joining our team!
How to prepare for a job interview at Clayton Davies
✨Know Your Regulations
Make sure you brush up on the latest regulatory requirements relevant to wealth management. Familiarise yourself with Conduct Rules and any recent changes in compliance legislation. This will not only show your expertise but also demonstrate your commitment to staying updated in the field.
✨Showcase Leadership Experience
Prepare examples of how you've successfully led compliance initiatives in previous roles. Think about specific challenges you faced, how you influenced stakeholders, and the outcomes of your actions. This will help illustrate your capability to take on a leadership role in their governance framework.
✨Understand Their Governance Framework
Research the firm’s current governance framework and be ready to discuss how you can enhance it. Bring ideas on best practices and how you can implement them effectively. This shows that you're proactive and genuinely interested in contributing to their success.
✨Prepare Thoughtful Questions
Have a list of insightful questions ready to ask during the interview. Inquire about their current compliance challenges or how they measure the success of their regulatory initiatives. This not only shows your interest but also helps you gauge if the company aligns with your values and career goals.
