At a Glance
- Tasks: Lead compliance integration for new acquisitions and ensure regulatory alignment.
- Company: Join a fast-growing IFA firm known for its strong governance and client outcomes.
- Benefits: Enjoy a competitive salary and the flexibility of home-based work.
- Other info: Due to high application volume, only shortlisted candidates will be contacted.
- Why this job: Be part of a dynamic team that values innovation and operational excellence.
- Qualifications: Must have a Level 4 Diploma in Financial Planning and experience in compliance.
The predicted salary is between 48000 - 72000 £ per year.
This range is provided by Clayton Davies. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.
Base pay range
Direct message the job poster from Clayton Davies
Contact
Director at Clayton Davies - 07515031496 / paul@claytondavies.com
Our client is a leading national IFA firm looking for an experienced Senior Compliance Manager to strengthen their governance framework and act as the main business partner for compliance support to the financial planning side of the business.
This is a key leadership role within their Compliance team, providing expert guidance and oversight to ensure the firm meets all regulatory obligations.
Role & Responsibilities
- Provide expert compliance and regulatory advisory support across the business, with a focus on financial planning and retail investment advice.
- Lead the interpretation and implementation of FCA rules, guidance, and policy changes, ensuring controls and processes remain robust.
- Act as a key point of contact for advisers, delivering clear guidance on complex compliance matters.
- Oversee thematic reviews, policy updates, and risk assessments.
- Influence and challenge senior stakeholders to ensure the firm operates within risk appetite and regulatory expectations.
- Support the development and delivery of compliance training, briefings, and guidance materials.
- Contribute to the firm’s Consumer Duty strategy and ongoing monitoring.
- Lead or support regulatory projects and strategic initiatives across the business.
Qualifications & Requirements
- Extensive compliance experience within an IFA, wealth management, or financial planning environment.
- Strong understanding of Conduct Rules is essential.
- Proven ability to interpret complex regulatory requirements and translate them into practical business solutions.
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.
Seniority level: Mid-Senior level
Employment type: Full-time
Job function: Other
Industries: Financial Services and Investment Management
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Senior Compliance Manager employer: Clayton Davies
As a leading national Independent Financial Advice firm, we pride ourselves on fostering a supportive and dynamic work environment in Cumbria. Our commitment to employee growth is evident through comprehensive training and development opportunities, alongside competitive compensation packages that include bonuses and benefits. Join us to be part of a culture that values collaboration, innovation, and the pursuit of excellence in financial planning.
StudySmarter Expert Advice🤫
We think this is how you could land Senior Compliance Manager
✨Tip Number 1
Familiarise yourself with the latest FCA rules and guidance relevant to financial advice and wealth management. This knowledge will not only help you in interviews but also demonstrate your commitment to staying updated in the compliance field.
✨Tip Number 2
Network with professionals in the compliance sector, especially those who have experience in due diligence and acquisitions. Engaging with industry peers can provide valuable insights and may even lead to referrals for the position.
✨Tip Number 3
Prepare specific examples from your past experience that showcase your ability to manage compliance integration and highlight any successful projects you've led. This will help you stand out during discussions with the hiring team.
✨Tip Number 4
Stay proactive by researching the company’s recent acquisitions and their integration strategies. Being knowledgeable about their operations will allow you to ask insightful questions and show your genuine interest in the role during interviews.
We think you need these skills to ace Senior Compliance Manager
Some tips for your application 🫡
Tailor Your CV:Make sure your CV highlights your experience in compliance, particularly in due diligence and acquisitions. Use specific examples that demonstrate your understanding of FCA rules and your ability to manage compliance integration.
Craft a Compelling Cover Letter:Write a cover letter that clearly outlines your motivation for applying and how your skills align with the role. Mention your Level 4 Diploma in Financial Planning and any relevant achievements in regulatory governance.
Showcase Leadership Skills:In your application, emphasise your leadership experience, especially in managing teams and projects. Provide examples of how you've set priorities and monitored outputs in previous roles.
Highlight Problem-Solving Abilities:Demonstrate your capability to identify regulatory or operational risks and propose practical solutions. Include specific instances where you streamlined processes or introduced technology improvements in your past work.
How to prepare for a job interview at Clayton Davies
✨Understand Regulatory Frameworks
Make sure you have a solid grasp of the FCA rules and guidance relevant to financial advice and wealth management. Be prepared to discuss how these regulations impact compliance processes and how you've navigated them in previous roles.
✨Showcase Your Leadership Skills
As a Senior Compliance Manager, you'll be leading a team. Highlight your experience in managing teams, setting priorities, and monitoring outputs. Share specific examples of how you've successfully led compliance integration efforts in the past.
✨Prepare for Scenario-Based Questions
Expect questions that assess your problem-solving skills, especially regarding regulatory or operational risks. Think of practical solutions you've implemented in previous roles and be ready to discuss these scenarios in detail.
✨Emphasise Cross-Functional Collaboration
The role requires liaising with various teams. Be prepared to talk about your experience working with cross-functional teams and how you ensured alignment on integration activities. Highlight any successful projects where collaboration was key.
