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- Tasks: Ensure compliance with regulations and manage client complaints effectively.
- Company: National IFA firm with a strong commitment to compliance and governance.
- Benefits: Competitive salary of c.£55,000 plus benefits and home-based flexibility.
- Why this job: Play a key role in shaping compliance frameworks and making a real impact.
- Qualifications: Level 4 qualification in financial services and strong regulatory knowledge required.
- Other info: Opportunity to work closely with advisers and management in a dynamic 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.
Clayton Davies is acting as an employment agency on behalf of our client.
Director, Regulatory Affairs & Quality in Peterborough employer: Clayton Davies
Contact Detail:
Clayton Davies Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Director, Regulatory Affairs & Quality in Peterborough
✨Tip Number 1
Network like a pro! Reach out to your connections in the industry, especially those who work in compliance or regulatory roles. 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 your knowledge of UK financial regulations and compliance frameworks. We want you to be ready to discuss how your experience aligns with the role and how you can contribute to the firm's compliance strength.
✨Tip Number 3
Don’t forget to showcase your problem-solving skills! Be ready to share examples of how you've handled compliance issues in the past. This will show potential employers that you can navigate challenges effectively.
✨Tip Number 4
Apply through our website! It’s the best way to ensure your application gets seen. Plus, we love seeing candidates who take the initiative to connect directly with us.
We think you need these skills to ace Director, Regulatory Affairs & Quality 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 regulatory affairs. We want to see how your skills align with the role, so don’t hold back on showcasing your relevant achievements!
Be Clear and Concise: When writing your application, keep it straightforward and to the point. Use bullet points where possible to make it easy for us to read through your qualifications and experiences. We appreciate clarity!
Show Your Passion: Let your enthusiasm for compliance and regulatory affairs shine through in your application. We love candidates who are genuinely interested in the field and can demonstrate their commitment to maintaining high standards.
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 role. Plus, it helps us keep everything organised!
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 the rules but can also apply them in real-world scenarios.
✨Prepare for Scenario Questions
Expect questions about how you would handle specific compliance issues or client complaints. Think of examples from your past experience where you successfully navigated similar situations and be ready to share those stories.
✨Showcase Your Reporting Skills
Since preparing compliance reports is a key part of the role, be prepared to discuss your experience in creating clear and structured reports. Bring examples if possible, and highlight how your reports have influenced decision-making in previous roles.
✨Demonstrate Your Teamwork
This role involves working closely with advisers and management teams. Be ready to talk about how you’ve collaborated with others in the past, particularly in enhancing compliance frameworks or managing risk assessments.