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- Tasks: Ensure compliance with regulations and support the firm's governance framework.
- Company: National IFA firm with a strong commitment to compliance and oversight.
- Benefits: Competitive salary, benefits package, and home-based flexibility.
- Why this job: Play a key role in shaping compliance strategies and making a real impact.
- Qualifications: Level 4 qualification in financial services and strong regulatory knowledge.
- Other info: Opportunity for career growth in a dynamic compliance environment.
The predicted salary is between 55000 - 65000 £ per year.
We're working with a national IFA firm who are seeking an experienced Compliance Manager to support the organisation in meeting regulatory expectations and maintaining robust oversight across all areas of advice, administration and governance. The position offers the opportunity to contribute to the continued strength of the firm's compliance framework while working closely with advisers, management teams and operational functions.
Role & Responsibilities:
- Preparing clear, accurate and structured compliance reports for senior leadership and internal committees
- Managing client complaints from investigation through to resolution, ensuring fair outcomes and adherence to regulatory rules
- Monitoring regulatory developments, industry changes and emerging risks within financial services
- Supporting the operation and enhancement of the firm's compliance and risk frameworks, including risk assessments and control reviews
- Assisting with governance requirements, regulatory interactions and oversight activities
- Investigating compliance concerns, identifying root causes and supporting remediation work
- Supporting obligations relating to financial crime prevention, including AML, sanctions and fraud control
- Providing guidance to advisers and staff, including reviewing communications and marketing materials for compliance
Do you have the following to apply?
- Level 4 qualification (or equivalent) within financial services
- Strong understanding of UK financial regulation, including FCA requirements
- Good working knowledge of retail financial products such as pensions, investments, platforms and protection
- Experience operating within a compliance or risk function in 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.
Compliance Manager in Peterborough employer: Clayton Davies
Contact Detail:
Clayton Davies Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Manager in Peterborough
✨Tip Number 1
Network like a pro! Reach out to your connections in the financial services sector and let them know you're on the hunt for a Compliance Manager role. You never know who might have the inside scoop on an opportunity or can put in a good word for you.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of UK financial regulations and compliance frameworks. We recommend creating a cheat sheet of key points to discuss, so you can confidently showcase your expertise when it comes to regulatory expectations.
✨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 skills. Tailor your approach to each company to show them why you’re the perfect fit!
✨Tip Number 4
Follow up after interviews! A quick thank-you email can go a long way in keeping you top of mind. Mention something specific from your conversation to remind them of your fit for the Compliance Manager position.
We think you need these skills to ace Compliance Manager in Peterborough
Some tips for your application 🫡
Tailor Your Application: Make sure to customise your CV and cover letter to highlight your experience in compliance and financial services. We want to see how your skills align with the role of Compliance Manager, so don’t hold back on showcasing your relevant qualifications!
Be Clear and Concise: When writing your application, keep it straightforward and to the point. We appreciate clarity, so avoid jargon and ensure your key achievements stand out. This will help us quickly see why you’re a great fit for the team!
Show Your Passion for Compliance: Let your enthusiasm for compliance shine through in your application. We love candidates who are genuinely interested in regulatory frameworks and financial services, so share any relevant experiences or insights that demonstrate your commitment to the field.
Apply Through Our Website: Don’t forget to submit your application through our website! It’s the best way for us to receive your details and ensures you’re considered for the Compliance Manager position. Plus, it makes the whole process smoother for everyone involved.
How to prepare for a job interview at Clayton Davies
✨Know Your Regulations
Make sure you brush up on UK financial regulations, especially FCA requirements. Being able to discuss these confidently will show that you’re not just familiar with compliance but that you live and breathe it.
✨Prepare Real-Life Examples
Think of specific instances where you've managed client complaints or conducted compliance investigations. Having these examples ready will help you demonstrate your experience and problem-solving skills effectively.
✨Stay Updated on Industry Changes
Keep an eye on recent regulatory developments and emerging risks in the financial services sector. This knowledge will not only impress your interviewers but also show that you’re proactive about staying informed.
✨Showcase Your Communication Skills
As a Compliance Manager, you'll need to guide advisers and staff. Be prepared to discuss how you’ve communicated complex compliance issues in the past, and maybe even bring along some examples of materials you've reviewed for compliance.