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
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like Clayton Davies looking for candidates who are engaged and informed.
We think you need these skills to ace Senior Compliance Manager
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at Clayton Davies. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at Clayton Davies
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with Clayton Davies’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
