At a Glance
- Tasks: Design and maintain training policies, manage assessments, and ensure compliance with FCA requirements.
- Company: Prestigious private bank with a strong presence in the UK.
- Benefits: Gain valuable experience in a dynamic environment on a 6-month contract.
- Other info: Collaborate with stakeholders and enjoy excellent career growth opportunities.
- Why this job: Make a real impact in regulatory compliance while developing your skills in a leading firm.
- Qualifications: Experience in T&C or L&D roles, strong knowledge of SMCR and FCA requirements.
The predicted salary is between 50000 - 60000 £ per year.
A prestigious private bank with a significant and growing presence in the UK is seeking an SMCR Associate on a 6 month contract basis.
Key Responsibilities
- Design, maintain, and embed the firm’s Training & Competence (T&C) policy and procedures aligned to FCA requirements and firm’s risk appetite.
- Own the Certified Persons and Senior Managers training strategy, ensuring staff are competent, remain competent, and understand their responsibilities under the regime.
- Operate and continuously improve Fit & Proper assessments for Senior Managers and Certified Persons, including annual/trigger reviews, evidence capture, and escalation.
- Manage the annual T&C processes: certification, SPS renewals, Conduct Rules training/attestations, and breach reporting.
- Keep the FCA directory for Certified Persons up to date and reconciled
- Support the Head of Regulatory Compliance to maintain the firms Management Responsibilities Map (MRM)
- Support in the production material and forms for Senior Managers FCA / PRA applications / changes and withdrawals and the submissions of the forms when required
- Conduct skills-gap analysis and develop training plans for SMFs
- Define role-based competence standards, learning pathways, supervision KPIs, and CPD requirements; manage remediation plans.
- Build and deliver a risk-based curriculum
- Source and manage external providers and qualifications (e. g., CISI/CII); implement blended learning and track completion/effectiveness.
- Produce Management Information
- Partner with stakeholders across relevant business areas
About You
- Demonstrable experience in a T&C, L&D/SMCR role
- Strong knowledge of SMCR (Senior Managers, Certification, Conduct Rules) and Fit & Proper requirements; familiarity with FCA Handbook (COCON, SYSC, TC, FIT).
- Experience in a wealth management firm or similar environment
- Proven experience running certification cycles, competence frameworks, QA/file review methodologies, and MI reporting.
- Excellent policy writing, governance, and documentation skills;
- For further information please contact Natalie Eshelby
- #J-18808-Ljbffr
SMCR Associate (6 month contract) employer: Compliance Professionals
As a leading wealth management firm in Greater London, we pride ourselves on fostering a collaborative work environment that prioritises compliance excellence and professional growth. Our commitment to employee development is reflected in our comprehensive training programmes and supportive culture, making us an ideal employer for compliance professionals seeking meaningful and rewarding careers in the financial services sector.
StudySmarter Expert Advice🤫
We think this is how you could land SMCR Associate (6 month contract)
✨Join Financial Networking Events
Jump into local finance meetups and conferences — they’re a goldmine for temporary roles in banking and financial services. You can chat with industry professionals and even get leads on upcoming opportunities that might not be posted online yet.
✨Utilise Temp Agencies Specialised in Finance
Reach out to temp agencies that focus on the banking sector. They often have strong ties with various firms and can help you secure short-term gigs that can help beef up your CV and get your foot in the door at firms like Compliance Professionals.
✨Connect with Alumni from Your Uni
Don't underestimate the power of your university’s alumni network. Many former students are working in banking and can help you find temporary roles or even offer mentorship. Reach out directly or attend alumni events to broaden your circle.
✨Stay Active on Job Boards and Company Websites
Keep your eyes peeled on job boards specifically for finance roles. Companies like Compliance Professionals might post temporary positions directly on their sites, so make sure to apply there too. Set alerts to catch those roles the moment they go live!
We think you need these skills to ace SMCR Associate (6 month contract)
Some tips for your application 🫡
Show Off Your Academic Achievements:In banking and financial services, your academic record can really make you stand out. List relevant grades, certifications, or coursework on your CV, especially if you've taken finance-related modules. This is particularly important for a temporary role where qualifications can help you shine even brighter!
Highlight Relevant Experience:If you’ve done any internships, part-time roles, or even coursework that aligns with banking or finance, make sure you include those! Showcase specific tasks where you used quantitative skills or analytical thinking, as this is what the hiring managers at Compliance Professionals will be keen to see in your application.
Tailor Your Cover Letter Purposefully:When writing your cover letter, focus on why you’re interested in a temporary position at Compliance Professionals. Let them know how you can quickly adapt to the team's needs and how eager you are to learn the ropes of the banking sector during this short stint. Your motivation and enthusiasm could really set you apart!
Be Prepared with References:For temporary roles, references can play a crucial role in your application. Make sure you’ve got a couple of references lined up who can vouch for your skills and work ethic. This helps to give Compliance Professionals confidence in your short-term commitment to the role.
How to prepare for a job interview at Compliance Professionals
✨Brush Up on Financial Regulations
Since this is a role in banking and financial services, be ready to discuss key regulations like MiFID, Basel III, or GDPR. These are hot topics, and your awareness of how they impact daily operations can give you a significant edge during your interview with Compliance Professionals.
✨Showcase Your Analytical Skills
Prepare for interview questions that assess your analytical abilities. You might need to tackle hypothetical scenarios involving risk assessment or financial forecasting. Bringing examples of relevant projects or coursework can emphasise your practical understanding of these concepts.
✨Highlight Flexibility and Adaptability
For a temporary role, showing that you can quickly pick up new processes and tools is crucial. Be ready to discuss previous experiences where you had to adapt to changing requirements or tight deadlines, as this will reassure Compliance Professionals that you’re a reliable team player.
✨Demonstrate a Willingness to Learn
In a temporary position, leaning into your eagerness to learn can really set you apart. Be prepared to share how you’re staying updated on industry trends or any additional training you've pursued. Employers appreciate candidates who are proactive about their development—even for short-term roles.
