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- Tasks: Support regulatory processes and advise on compliance policies in a dynamic financial environment.
- Company: Join a leading Financial Services Group with a rapidly expanding Compliance Department.
- Benefits: Enjoy a competitive salary, bonus, and hybrid working options.
- Why this job: Be part of an exciting team with opportunities for growth and internal progression.
- Qualifications: Experience in retail investments and pensions, with knowledge of Consumer Duty and FCA Handbook required.
- Other info: Only successful applicants will be contacted; your details remain confidential.
The predicted salary is between 43200 - 57600 £ per year.
COMPLIANCE ADVISORY MANAGER – EXPERIENCE OF RETAIL INVESTMENTS AND PENSIONS REQUIRED
£70K – £80K & benefits 50% Hybrid (Bath)
REF: 4129D3
We are recruiting for our client, a leading Financial Services Group, seeking a Compliance Advisory Manager to support the business on understanding regulatory policy, procedures and process
- Support and advise on how regulated processes work
- Advise on regulatory enhancements and controls working closely with the Risk Business Partner and team
- Work closely with the Compliance lead and compliance team to support regulatory changes that may effect the business and clients
- Assist in implementing any regulatory changes to SOPs required (and necessary guidance and training provided)
- Advise on regulatory queries from the 1LOD teams and more broadly from the business and/clients
- Support the Compliance Lead and the work closely with Risk to review the emerging risks, breaches and support on remediation projects
- Support regulatory projects and initiatives
- Support to develop, implement, and maintain compliance policies and procedures
- Monitor regulatory developments and work closely with the Compliance team and lead to ensure timely updates to internal controls
- Support with conducting reviews to identify potential compliance issues
- Prepare and submit compliance reports to senior management
- Investigate and support to resolve compliance breaches or concerns
- Maintain records of compliance activities and decisions
You should have previous experience of advising on Policies and Standard Operating Procedures as well as ongoing advisory Regulatory Interpretation, covering both Pensions and Retail Investments with a good knowledge of Consumer Duty as well as the broader FCA Handbook.
Great opportunity to join rapidly expanding Compliance Dept at an exciting time with plenty of opportunities for internal progression. NB We have already filled many roles at this client including some of the senior positions hence are well placed to advise you on these
So, if that sounds like you, then please send your details to our MD, David Symes FCA, at (including contact no ) however please note we cannot reply to all applications so only successful applications will be contacted (although under no circumstances are your details ever passed on without your specific permission).
Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role. The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.
COMPLIANCE ADVISORY MANAGER - EXPERIENCE OF RETAIL INVESTMENTS AND PENSIONS REQUIRED employer: Compliance Recruitment Solutions (Dublin, Geneva, London & Madrid)
Contact Detail:
Compliance Recruitment Solutions (Dublin, Geneva, London & Madrid) Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land COMPLIANCE ADVISORY MANAGER - EXPERIENCE OF RETAIL INVESTMENTS AND PENSIONS REQUIRED
✨Tip Number 1
Network with professionals in the compliance and financial services sectors. Attend industry events or webinars to connect with people who can provide insights into the role and potentially refer you.
✨Tip Number 2
Stay updated on the latest regulatory changes affecting retail investments and pensions. This knowledge will not only help you in interviews but also demonstrate your commitment to the field.
✨Tip Number 3
Prepare to discuss specific examples from your past experience where you've successfully navigated compliance challenges, particularly in relation to policies and procedures in the financial sector.
✨Tip Number 4
Familiarise yourself with the company's culture and values. Tailoring your approach to align with their ethos can make a significant difference during the interview process.
We think you need these skills to ace COMPLIANCE ADVISORY MANAGER - EXPERIENCE OF RETAIL INVESTMENTS AND PENSIONS REQUIRED
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your experience in retail investments and pensions. Use specific examples of how you've advised on regulatory policies and procedures to demonstrate your expertise.
Craft a Strong Cover Letter: In your cover letter, explain why you're interested in the Compliance Advisory Manager role. Mention your understanding of Consumer Duty and the FCA Handbook, and how your background aligns with the company's needs.
Highlight Relevant Experience: When detailing your work history, focus on roles where you provided compliance advice or worked on regulatory changes. Be specific about your contributions and the outcomes of your efforts.
Proofread Your Application: Before submitting, carefully proofread your application for any spelling or grammatical errors. A polished application reflects your attention to detail, which is crucial in compliance roles.
How to prepare for a job interview at Compliance Recruitment Solutions (Dublin, Geneva, London & Madrid)
✨Know Your Regulations
Make sure you have a solid understanding of the regulatory policies and procedures relevant to retail investments and pensions. Brush up on the FCA Handbook and Consumer Duty, as these will likely come up during your interview.
✨Demonstrate Advisory Experience
Be prepared to discuss your previous experience in advising on compliance policies and Standard Operating Procedures. Share specific examples of how you've supported businesses in understanding and implementing regulatory changes.
✨Showcase Problem-Solving Skills
Highlight your ability to investigate and resolve compliance breaches or concerns. Prepare to discuss any past experiences where you successfully identified potential compliance issues and how you addressed them.
✨Engage with the Compliance Team
Express your enthusiasm for working closely with compliance teams and risk partners. Be ready to talk about how you can contribute to monitoring regulatory developments and supporting compliance initiatives within the organisation.
