At a Glance
- Tasks: Support compliance framework, conduct reviews, and provide regulatory advice.
- Company: Respected IFA with a strong focus on compliance culture.
- Benefits: 12-month contract with potential for extension and flexible working arrangements.
- Other info: Opportunity to work in a dynamic environment with career growth potential.
- Why this job: Make a real impact in the financial services sector while developing your compliance expertise.
- Qualifications: Level 4 Diploma in Financial Planning and experience in compliance management.
The predicted salary is between 40000 - 50000 £ per year.
We are recruiting for a well-respected IFA seeking to recruit a Compliance Manager for a period of 12 months with a possibility of longer.
Duties will include:
- Support the development, implementation and maintenance of the firm’s compliance framework, policies and procedures
- Monitor regulatory developments and assess their impact on the business
- Conduct compliance monitoring reviews, file reviews and thematic assessments
- Provide regulatory advice and guidance
- Assist with regulatory reporting
- Review and respond to complaints in line with our complaints procedure
- Oversee compliance risk assessments and provide mitigation advice
- Support the delivery of training on compliance and professional standards
- Investigate compliance breaches and manage client complaints
- Prepare compliance and MI reports for the Board
- Promote a positive compliance culture
You must have a Level 4 Diploma in Financial Planning (or equivalent) with proven experience in a Compliance Manager or senior compliance role within the Financial Services sector including a strong grasp of FCA rules & financial advice standards and experience conducting compliance monitoring & risk assessments (not just file reviews as already have a team member performing such).
The role is 4 days per week in the office and one day at home but as you may need to visit other offices in the Manchester area, you should be a car driver.
So, if that sounds like you, then please send your details to our MD, David Symes FCA, at david@compliancerecruitment.com. 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.
12 MONTH IFA COMPLIANCE MANAGER CONTRACT – LEVEL 4 QUALIFIED WITH COMPLIANCE MONITORING EXPERIE[...] in Manchester employer: Compliance Recruitment Solutions (Dublin, Geneva, London & Madrid)
As a leading law firm located in the vibrant City of London, we pride ourselves on fostering a collaborative and inclusive work culture that prioritises employee growth and development. With competitive salaries ranging from £90K to £120K, alongside attractive benefits and bonuses, we offer our team members the opportunity to thrive in a dynamic environment while managing critical compliance functions. Join us to make a meaningful impact in governance and compliance, all while enjoying the perks of a hybrid working model in a prestigious setting.
Contact Details:
Compliance Recruitment Solutions (Dublin, Geneva, London & Madrid) Recruitment Team
StudySmarter Expert Advice🤫
We think this is how you could land 12 MONTH IFA COMPLIANCE MANAGER CONTRACT – LEVEL 4 QUALIFIED WITH COMPLIANCE MONITORING EXPERIE[...] in Manchester
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like Compliance Recruitment Solutions (Dublin, Geneva, London & Madrid) looking for candidates who are engaged and informed.
We think you need these skills to ace 12 MONTH IFA COMPLIANCE MANAGER CONTRACT – LEVEL 4 QUALIFIED WITH COMPLIANCE MONITORING EXPERIE[...] in Manchester
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at Compliance Recruitment Solutions (Dublin, Geneva, London & Madrid). Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at Compliance Recruitment Solutions (Dublin, Geneva, London & Madrid)
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with Compliance Recruitment Solutions (Dublin, Geneva, London & Madrid)’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
