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- Tasks: Lead compliance support and ensure regulatory obligations are met in financial planning.
- Company: A growing wealth management firm with a focus on governance and compliance.
- Benefits: Competitive salary, leadership role, and opportunities for professional growth.
- Why this job: Make a real impact by guiding compliance in a dynamic financial environment.
- Qualifications: Extensive compliance experience and strong understanding of Conduct Rules required.
- Other info: Join a key leadership team and influence strategic initiatives.
The predicted salary is between 43200 - 72000 £ per year.
Our client is a growing wealth management firm who are looking for an experienced Senior Regulatory Compliance 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 Regulatory Compliance Manager 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 Manager in London
✨Tip Number 1
Network like a pro! Reach out to your connections in the wealth management and compliance sectors. A friendly chat can lead to insider info about job openings that aren't even advertised yet.
✨Tip Number 2
Prepare for interviews by brushing up on FCA rules and recent regulatory changes. We want you to be the go-to expert in the room, so practice explaining complex compliance matters in simple terms.
✨Tip Number 3
Showcase your leadership skills! When discussing your experience, highlight times when you've influenced senior stakeholders or led compliance projects. We love seeing candidates who can drive change.
✨Tip Number 4
Don't forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we’re always on the lookout for top talent like you to join our team.
We think you need these skills to ace Senior Regulatory Compliance Manager in London
Some tips for your application 🫡
Tailor Your CV: Make sure your CV speaks directly to the role of Senior Regulatory Compliance Manager. Highlight your extensive compliance experience and any specific achievements in financial planning or wealth management that align with what our client is looking for.
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're the perfect fit for this role. Mention your understanding of FCA rules and how you've successfully implemented them in past roles. Keep it engaging and personal!
Showcase Your Leadership Skills: Since this is a key leadership role, don’t forget to highlight your experience in leading teams or projects. Share examples of how you've influenced senior stakeholders and ensured compliance within risk appetite in previous positions.
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 this exciting opportunity!
How to prepare for a job interview at Clayton Davies
✨Know Your Regulations
Make sure you brush up on the latest FCA rules and guidance. Being able to discuss how these regulations 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 instances where you've successfully interpreted complex regulatory requirements. Be ready to share how you translated those into actionable solutions for your previous employers. This will demonstrate your hands-on experience and problem-solving skills.
✨Engage with Stakeholders
Since this role involves influencing senior stakeholders, prepare to discuss how you've effectively communicated compliance matters in the past. Highlight your ability to challenge and guide others while maintaining strong professional relationships.
✨Showcase Leadership Skills
As a key leader in the Compliance team, it's essential to convey your leadership style. Be prepared to talk about how you've led projects or initiatives in the past, particularly those that required collaboration across different teams or departments.
