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- Tasks: Manage client relationships and ensure compliance with financial regulations.
- Company: Join a leading compliance consultancy firm with a strong reputation in the industry.
- Benefits: Enjoy flexible work options, including remote work and a supportive team environment.
- Why this job: Make a real impact in the financial sector while developing your expertise in compliance.
- Qualifications: Must have a Diploma in Financial Planning and excellent communication skills.
- Other info: Experience with Discretionary Fund Management is a plus.
The predicted salary is between 48000 - 72000 £ per year.
Our client, a successful compliance consultancy firm, are looking for a Senior Compliance Officer to join their growing team. You will work closely with financial advisory firms and discretionary investment management firms to ensure all things are compliant.
Key Responsibilities :
- Undertake day to day client management including supportive consultancy, firm audits & file checks
- Be capable of dealing with in-depth and highly technical compliance queries
- Have a comprehensive knowledge of FCA Handbook
- Be required to read and summarise important industry papers
- MiFIDPRU Knowledge desirable
- Be able to draft internal technical papers and contribute to manual/toolkit development
- Have existing knowledge /experience of Discretionary Fund Management & Retail Financial Advisers
- Operate at client offices or from home
Experience Required:
- Be qualified in the Diploma in Financial Planning (or equivalent)
- Advanced CII Qualification(s) desirable
- Possess excellent communication and consultancy skills
Senior Compliance Consultant employer: Clayton Davies
Contact Detail:
Clayton Davies Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Senior Compliance Consultant
✨Tip Number 1
Make sure to familiarize yourself with the FCA Handbook and any recent updates. This knowledge will not only help you in interviews but also demonstrate your commitment to staying current in the compliance field.
✨Tip Number 2
Network with professionals in the compliance consultancy space, especially those who work with financial advisory firms. Engaging in conversations can provide insights into the role and may even lead to referrals.
✨Tip Number 3
Prepare to discuss specific compliance challenges you've faced in previous roles. Being able to articulate your problem-solving skills in real-world scenarios will set you apart from other candidates.
✨Tip Number 4
Stay updated on industry trends and regulatory changes, particularly those related to MiFIDPRU. Showing that you are proactive about your professional development can impress potential employers.
We think you need these skills to ace Senior Compliance Consultant
Some tips for your application 🫡
Understand the Role: Make sure to thoroughly read the job description and understand the key responsibilities and required experience. Tailor your application to highlight how your skills and experiences align with the needs of the compliance consultancy firm.
Highlight Relevant Experience: In your CV and cover letter, emphasize your experience in compliance, particularly with financial advisory firms and discretionary investment management. Mention any specific projects or achievements that demonstrate your capability in handling compliance queries and audits.
Showcase Your Qualifications: Clearly list your qualifications, such as the Diploma in Financial Planning and any advanced CII qualifications. If you have knowledge of the FCA Handbook or MiFIDPRU, make sure to mention this as it is highly relevant to the role.
Craft a Strong Cover Letter: Write a compelling cover letter that not only summarizes your qualifications but also conveys your passion for compliance consultancy. Discuss your communication skills and how they will benefit client management and consultancy efforts.
How to prepare for a job interview at Clayton Davies
✨Showcase Your Compliance Knowledge
Make sure to demonstrate your comprehensive knowledge of the FCA Handbook during the interview. Be prepared to discuss specific regulations and how they apply to financial advisory firms and discretionary investment management.
✨Prepare for Technical Queries
Since the role involves dealing with in-depth compliance queries, practice articulating your thought process on complex compliance issues. This will show your ability to handle technical challenges effectively.
✨Highlight Your Consultancy Skills
Emphasize your excellent communication and consultancy skills. Share examples from your past experiences where you successfully managed client relationships or provided valuable consultancy services.
✨Familiarize Yourself with Industry Papers
Be ready to discuss recent industry papers relevant to compliance. Showing that you can read and summarize important documents will demonstrate your proactive approach and understanding of the industry landscape.
