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- Tasks: Lead compliance initiatives and provide expert regulatory support in financial planning.
- Company: A leading national IFA firm with a strong governance framework.
- Benefits: Competitive salary, professional development, and a supportive work environment.
- Why this job: Make a real impact on compliance and governance in the financial sector.
- Qualifications: Extensive compliance experience and strong understanding of FCA Conduct Rules.
- Other info: Opportunity for career growth in a dynamic and supportive team.
The predicted salary is between 48000 - 72000 £ per year.
A leading national IFA firm is seeking a Senior Compliance Manager to strengthen their governance framework. You will provide expert compliance and regulatory advisory support, lead the interpretation of FCA rules, and act as a key contact for advisers.
The ideal candidate will have extensive compliance experience within financial planning and a strong understanding of Conduct Rules. This role involves overseeing compliance reviews and supporting strategic initiatives across the business.
Senior Compliance Leader for Financial Planning & FCA employer: Clayton Davies
Contact Detail:
Clayton Davies Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Senior Compliance Leader for Financial Planning & FCA
✨Tip Number 1
Network like a pro! Reach out to your connections in the financial planning sector and let them know you're on the lookout for opportunities. You never know who might have the inside scoop on a role that’s perfect for you.
✨Tip Number 2
Prepare for interviews by brushing up on FCA rules and compliance best practices. We recommend creating a cheat sheet of key points to discuss, so you can showcase your expertise and confidence when it counts.
✨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, making your application stand out from the crowd.
✨Tip Number 4
Follow up after interviews! A quick thank-you email can go a long way in keeping you top of mind. It shows your enthusiasm for the role and reinforces your commitment to joining their team.
We think you need these skills to ace Senior Compliance Leader for Financial Planning & FCA
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your extensive compliance experience and understanding of Conduct Rules. We want to see how your background aligns with the Senior Compliance Leader role, so don’t be shy about showcasing relevant achievements!
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. We love seeing candidates who can articulate their passion for compliance and regulatory advisory support, so let your personality come through.
Showcase Your Knowledge of FCA Rules: Since this role involves interpreting FCA rules, make sure to mention any specific experiences or projects where you've successfully navigated these regulations. We’re looking for someone who can hit the ground running, so demonstrate your expertise!
Apply Through Our Website: We encourage you to apply directly through our website. It’s the best way for us to receive your application and ensures you’re considered for the role. Plus, it shows you’re keen on joining our team at StudySmarter!
How to prepare for a job interview at Clayton Davies
✨Know Your FCA Rules
Make sure you brush up on the latest FCA rules and regulations. Being able to discuss specific rules and how they apply to financial planning will show that you’re not just familiar with compliance, but that you can also interpret and advise on it effectively.
✨Showcase Your Experience
Prepare to share specific examples from your past roles where you've successfully navigated compliance challenges. Highlighting your extensive experience in financial planning and how you've strengthened governance frameworks will resonate well with the interviewers.
✨Understand the Business Context
Research the firm’s current governance framework and any recent news or changes in their compliance approach. This will allow you to tailor your responses and demonstrate that you’re genuinely interested in how you can contribute to their strategic initiatives.
✨Engage with Questions
Prepare thoughtful questions about the firm's compliance culture and future initiatives. This not only shows your interest but also gives you insight into whether the company aligns with your values and career goals.
