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- Tasks: Guide product teams on compliance and regulatory requirements for retail investment products.
- Company: Dynamic broker in the City with exciting growth plans.
- Benefits: Competitive salary, career development, and a vibrant work environment.
- Why this job: Make a real impact in compliance while shaping innovative financial products.
- Qualifications: 7+ years in compliance, strong knowledge of FCA regulations, and retail investment experience.
- Other info: Join a collaborative team focused on strategic solutions and stakeholder engagement.
The predicted salary is between 43200 - 72000 £ per year.
THE COMPANY: Our client is a well-known Broker based in the heart of the City, with exciting growth plans.
THE RESPONSIBILITIES:
- Providing advice to the product teams on introduction of new and adaptations to existing products.
- Advising all parts of the business on its obligations under the Consumer Duty and application of its principles and outcomes.
- Advising the marketing function on regulatory requirements including in respect of approach to specific campaigns.
- Development and deployment of relevant compliance policy, and associated control frameworks necessary to ensure regulatory compliance and adherence to policy.
- Delivery of ongoing training to the UK divisional business, UK compliance team and other stakeholders as required.
- Assisting Compliance Assurance with monitoring activity as required e.g. client communications.
- Attending Client Money and Assets Committee and assisting in client money advisory matters.
- Reviewing Operational Risk Events for indications of regulatory breaches.
- Managing high-value, and or complex complaints, encompassing ultimate responsibility for the drafting and submission on a timely basis of the response to the complaint.
- Providing strategic advice on the approach to the ombudsman in response to high-value or precedent-setting complaints within regulatory timelines.
- Advising on Financial Promotions compliance, acting as a first point of contact for the marketing teams and leadership.
EXPERIENCE REQUIRED:
- CFDS, Spreadbetting Retail Investor products/background required.
- 7+ years of experience in a senior generalist compliance role (Retail investments/brokerage background required).
- Solid background in financial services with good working knowledge of leveraged and non-leveraged trading of financial instruments and other popular investments (CFDS, Spreadbetting, Crypto).
- Strong understanding of the FCA regulations applicable over Retail investments, particularly the Consumer Duty, COBS, and DISP.
- Familiarity with UK regulation and regulatory framework, and other handbook areas such as Client Money & Assets, Product Governance, Training & Competence, SMCR & FIT.
- Bonus is you have Financial Promotions experience.
- Excellent stakeholder management and communication skills across all levels of the organisation.
- Proven ability to demonstrate strategic thinking with a proactive and solutions-focused approach.
Senior Compliance Manager - Retail Investment product in London employer: Compliance Professionals
Contact Detail:
Compliance Professionals Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Senior Compliance Manager - Retail Investment product in London
✨Network Like a Pro
Get out there and connect with people in the industry! Attend events, join online forums, or even hit up LinkedIn. The more you engage, the better your chances of landing that Senior Compliance Manager role.
✨Show Off Your Expertise
When you get the chance to chat with potential employers, don’t hold back! Share your insights on FCA regulations and how you've tackled compliance challenges in the past. We want to see your strategic thinking in action!
✨Tailor Your Approach
Every company is different, so make sure you tailor your conversations to their specific needs. Research their products and compliance challenges, and come prepared with ideas on how you can help them navigate the Consumer Duty and other regulations.
✨Apply Through Our Website
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 Manager - Retail Investment product in London
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Senior Compliance Manager role. Highlight your experience in retail investments and compliance, especially with CFDS and Spreadbetting. We want to see how your background aligns with our needs!
Showcase Your Skills: In your cover letter, showcase your stakeholder management and communication skills. We love seeing examples of how you've navigated complex compliance issues or provided strategic advice in previous roles. Let us know how you can bring that expertise to our team!
Be Clear and Concise: When writing your application, be clear and concise. Use straightforward language and avoid jargon unless it's relevant to the role. We appreciate a well-structured application that gets straight to the point!
Apply Through Our Website: Don't forget to apply through our website! It’s the best way for us to receive your application and ensures you’re considered for the role. Plus, it shows you're keen on joining our team at StudySmarter!
How to prepare for a job interview at Compliance Professionals
✨Know Your Regulations
Make sure you brush up on the FCA regulations, especially those related to Retail investments like Consumer Duty and COBS. Being able to discuss these confidently will show that you’re not just familiar with the rules but can also apply them in real-world scenarios.
✨Showcase Your Experience
With 7+ years in compliance, you’ll want to highlight specific examples from your past roles. Think about times when you successfully navigated complex regulatory challenges or improved compliance processes. This will demonstrate your strategic thinking and proactive approach.
✨Engage with Stakeholders
Prepare to discuss how you’ve managed relationships across different levels of an organisation. Share examples of how you’ve communicated compliance requirements to marketing teams or product managers, as this role requires excellent stakeholder management skills.
✨Be Ready for Scenario Questions
Expect questions that put you in hypothetical situations, like handling high-value complaints or advising on financial promotions. Practise articulating your thought process and decision-making strategies, as this will showcase your problem-solving abilities and compliance knowledge.
