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- Tasks: Manage client relationships and ensure compliance in financial advisory firms.
- Company: Join a thriving compliance consultancy known for its expertise and growth.
- Benefits: Enjoy flexible work options, including remote work and professional development opportunities.
- Why this job: Be part of a dynamic team making a real impact in the finance industry.
- Qualifications: Must have a Diploma in Financial Planning and strong communication skills.
- Other info: Experience with Discretionary Fund Management is a plus.
The predicted salary is between 43200 - 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 papers 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 requirements. Tailor your application to highlight your relevant experience in compliance consultancy, particularly with financial advisory firms.
Highlight Relevant Qualifications: Clearly state your qualifications, especially the Diploma in Financial Planning or any advanced CII qualifications. Mention any specific training or certifications that relate to compliance and financial services.
Showcase Your Experience: Provide detailed examples of your previous work in compliance, particularly any experience with firm audits, client management, or dealing with technical compliance queries. Use metrics or specific outcomes to demonstrate your impact.
Craft a Strong Cover Letter: Write a compelling cover letter that not only summarizes your CV but also explains why you are passionate about compliance consultancy. Mention your knowledge of the FCA Handbook and any experience with MiFIDPRU, as these are important for the role.
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
Expect in-depth and highly technical compliance queries. Brush up on your understanding of MiFIDPRU and be ready to provide clear, concise answers that showcase your expertise.
✨Highlight Your Consultancy Skills
Since the role involves client management and supportive consultancy, emphasize your excellent communication and consultancy skills. Share examples from your past experiences where you successfully managed client relationships.
✨Demonstrate Your Drafting Abilities
Be prepared to discuss your experience in drafting internal technical papers and contributing to manual/toolkit development. Bring samples if possible, as this will illustrate your capability in producing high-quality documentation.
