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- Tasks: Lead compliance support and ensure regulatory obligations are met in financial planning.
- Company: A growing wealth management firm with a focus on governance and compliance.
- Benefits: Competitive salary, career development opportunities, and a dynamic work environment.
- Why this job: Make a real impact by guiding compliance in a key leadership role.
- Qualifications: Extensive compliance experience and strong understanding of Conduct Rules required.
- Other info: Join a team that values expertise and offers strategic project involvement.
The predicted salary is between 43200 - 72000 £ per year.
Our client is a growing wealth management firm who are looking for an experienced Senior Regulatory 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.
- Lead or support regulatory projects and strategic initiatives across the business.
Do you have the following to apply?
- 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.
Senior Regulatory Compliance Manager employer: Clayton Davies
Contact Detail:
Clayton Davies Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Senior Regulatory Compliance Manager
✨Tip Number 1
Network like a pro! Reach out to your connections in the wealth management and compliance sectors. We all know that sometimes it’s not just what you know, but who you know. Attend industry events or webinars to meet potential employers and get your name out there.
✨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 during your interview. Show them you can interpret complex regulations and provide practical solutions – that’s what they’re looking for!
✨Tip Number 3
Don’t just apply anywhere; focus on firms that align with your values and expertise. Use our website to find roles that excite you and match your skills. Tailor your approach to each company, showing them why you’re the perfect fit for their compliance team.
✨Tip Number 4
Follow up after interviews! A quick thank-you email can set you apart from other candidates. We recommend reiterating your enthusiasm for the role and briefly highlighting how your experience aligns with their needs. It shows initiative and keeps you fresh in their minds.
We think you need these skills to ace Senior Regulatory Compliance Manager
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Senior Regulatory Compliance Manager role. Highlight your extensive compliance experience and understanding of Conduct Rules, as these are key for us.
Craft a Compelling Cover Letter: Your cover letter should tell us why you're the perfect fit for this role. Share specific examples of how you've interpreted complex regulatory requirements and provided practical solutions in your previous roles.
Showcase Leadership Skills: Since this is a leadership role, don’t forget to showcase your ability to influence and challenge senior stakeholders. We want to see how you’ve led teams or projects in the past!
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’re considered for this exciting opportunity!
How to prepare for a job interview at Clayton Davies
✨Know Your Regulations
Make sure you brush up on the latest FCA rules and guidance. Being able to discuss how these regulations impact financial planning and retail investment advice will show that you're not just familiar with compliance, but that you can apply it practically.
✨Prepare Real-World Examples
Think of specific instances where you've successfully navigated complex compliance issues or led regulatory projects. Sharing these stories will demonstrate your expertise and give the interviewers a clear picture of how you handle challenges in a leadership role.
✨Engage with Stakeholders
Be ready to discuss how you've influenced senior stakeholders in the past. Highlight your ability to challenge decisions while maintaining strong relationships. This is crucial for a role that requires collaboration across various teams.
✨Showcase Your Advisory Skills
Since this role involves providing compliance support, prepare to explain how you've delivered clear guidance on compliance matters in previous positions. Use examples that illustrate your ability to simplify complex regulations for advisers and other team members.
