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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: Competitive salary and opportunities for professional growth.
- 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 43200 - 72000 £ per year.
Senior Compliance Monitoring ManagerOur 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 InformationDue 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 person for compliance knowledge, so show off your expertise 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.
✨Tip Number 4
Follow up after interviews! A quick thank-you email can keep you top of mind. Plus, it shows your enthusiasm for the role and helps build a positive rapport with potential employers.
We think you need these skills to ace Senior Compliance Monitoring Manager
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Senior Compliance Monitoring Manager role. Highlight your experience in compliance monitoring and your knowledge of FCA rules. We want to see how your background aligns with what we're looking for!
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. Share specific examples of your achievements in compliance and how you can contribute to our team's success.
Showcase Your Skills: Don’t forget to showcase your skills in risk-based monitoring programmes and report production. We love seeing candidates who can demonstrate their ability to produce high-quality reports and actionable insights.
Apply Through Our Website: We encourage you to apply through our website for a smoother application process. It helps us keep track of your application and ensures you don’t miss out on any important updates from us!
How to prepare for a job interview at Clayton Davies
✨Know Your FCA Rules
Make sure you brush up on your knowledge of FCA rules, especially 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 the role.
✨Prepare Your Monitoring Plan
Think about how you would design a compliance monitoring plan that aligns with the firm's risk appetite. Be ready to share your ideas during the interview, as this will demonstrate your proactive approach and understanding of the role's responsibilities.
✨Showcase Your Reporting Skills
Prepare examples of high-quality reports or MI you've produced in the past. Highlight how your findings led to actionable improvements. This will illustrate your ability to communicate complex information clearly and effectively to senior management.
✨Stay Current with Regulatory Changes
Keep yourself updated on the latest regulatory developments in the financial services sector. Being able to discuss recent changes and how they impact compliance monitoring will show your commitment to continuous improvement and your readiness for the role.
