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- Tasks: Lead compliance monitoring to ensure alignment with FCA requirements and internal standards.
- Company: A leading national firm of Independent Financial Advisers in the UK.
- Benefits: Full-time role with opportunities for professional growth and development.
- Why this job: Play a key role in safeguarding regulatory integrity and promoting good conduct.
- Qualifications: Strong background in compliance monitoring or audit within financial services.
- Other info: Collaborative environment focused on continuous improvement and regulatory excellence.
The predicted salary is between 36000 - 60000 £ per year.
Senior Compliance Monitoring Manager
Our client, a leading national firm of Independent Financial Advisers, provides trusted financial planning and wealth management services to clients across the UK. We are strengthening our compliance oversight function to maintain robust governance and control frameworks.
Location: Hybrid – Based out of various locations | Contact: 07515031496 | paul@claytondavies.com
Role & Responsibilities
- Lead the design and delivery of the annual compliance monitoring plan in line with risk appetite and regulatory priorities.
- Produce high‑quality reports and MI for senior management and governance committees, highlighting findings, trends and areas for improvement.
- Work collaboratively with business leaders to develop practical and proportionate action plans.
- Stay up to date with regulatory developments, translating requirements into actionable monitoring and guidance.
- Contribute to continuous enhancement of compliance frameworks, systems and methodologies.
Qualifications
- Strong background in compliance monitoring or audit within financial services, ideally in wealth management or IFA sector.
- Excellent working knowledge of FCA rules (COBS, SYSC and CONC).
- Proven ability to design and execute risk‑based monitoring programmes.
Additional Information
Due to the high volume of applications, 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.
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Senior Compliance Monitoring Manager employer: Clayton Davies
Contact Detail:
Clayton Davies Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Senior Compliance Monitoring Manager
✨Tip Number 1
Network like a pro! Reach out to your connections in the financial services sector, especially those who know about compliance. A friendly chat can lead to insider info on job openings or even a referral.
✨Tip Number 2
Prepare for interviews by brushing up on FCA rules and recent regulatory changes. We want you to be the go-to expert in the room, so practice discussing how you've tackled compliance challenges in the past.
✨Tip Number 3
Showcase your skills with real examples! When discussing your experience, highlight specific projects where you designed risk-based monitoring programmes or improved compliance frameworks. This will make you stand out.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we love seeing candidates who are proactive about their job search.
We think you need these skills to ace Senior Compliance Monitoring Manager
Some tips for your application 🫡
Tailor Your Application: Make sure to customise your CV and cover letter to highlight your experience in compliance monitoring and financial services. We want to see how your skills align with the role of Senior Compliance Monitoring Manager, so don’t hold back!
Showcase Your Knowledge: Demonstrate your understanding of FCA rules and regulations in your application. We’re looking for someone who can translate complex requirements into actionable insights, so give us examples of how you've done this in the past.
Be Clear and Concise: When writing your application, keep it straightforward and to the point. We appreciate clarity, especially when it comes to your achievements and experiences. Use bullet points if it helps make your case stronger!
Apply Through Our Website: Don’t forget to submit your application through our website! It’s the best way for us to receive your details and ensures you’re considered for the role. We can’t wait to see what you bring to the table!
How to prepare for a job interview at Clayton Davies
✨Know Your Compliance Stuff
Make sure you brush up on FCA rules like COBS, SYSC, and CONC. Being able to discuss these regulations confidently will show that you’re not just familiar with compliance but that you can apply this knowledge practically in your role.
✨Showcase Your Monitoring Experience
Prepare specific examples of how you've designed and executed risk-based monitoring programmes in the past. Highlight any successful outcomes or improvements that resulted from your actions, as this will demonstrate your capability to lead compliance monitoring effectively.
✨Be Ready to Discuss Trends
Stay updated on current trends in compliance and financial services. Be prepared to discuss how these trends could impact the firm and what proactive measures you would suggest to stay ahead of regulatory changes.
✨Collaborative Mindset
Emphasise your ability to work collaboratively with business leaders. Prepare to discuss how you’ve developed action plans in the past and how you can foster a culture of good conduct and continuous improvement within the team.
