At a Glance
- Tasks: Lead compliance initiatives and ensure regulatory standards are met in a dynamic financial environment.
- Company: Respected IFA with a strong commitment to compliance and professional standards.
- Benefits: Competitive salary, good benefits, and potential for contract extension.
- Other info: Hybrid work model with office presence and opportunities for professional growth.
- Why this job: Make a real impact on compliance culture while developing your career in financial services.
- Qualifications: Level 4 Diploma in Financial Planning and experience in compliance monitoring required.
The predicted salary is between 50000 - 55000 £ 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 4d pw office and one day at home but as may need to visit other offices in the Manchester area, you should be a car driver.
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.
12 MONTH IFA COMPLIANCE MANAGER CONTRACT – LEVEL 4 QUALIFIED WITH COMPLIANCE MONITORING EXPERIENCE REQUIRED in Warrington employer: Compliance Recruitment Solutions (Dublin, Geneva, London & Madrid)
Join a well-respected IFA in North Manchester/Preston, where you will thrive in a supportive work culture that values compliance and professional development. With a competitive salary of £50,000 - £55,000 and excellent benefits, this role offers a unique opportunity to enhance your career while contributing to a positive compliance environment. Enjoy the flexibility of a hybrid working model, with the chance to engage with various offices in the area, fostering both personal and professional growth.
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 EXPERIENCE REQUIRED in Warrington
✨Dive into Industry Groups
Join compliance and risk management groups on platforms like LinkedIn and Facebook. These communities often share temp job postings and insights. You’d be surprised at how many temporary gigs float around through word of mouth!
✨Showcase Your Expertise
Consider creating content on compliance topics that get you noticed—think LinkedIn articles or even a blog. This not only shows off your knowledge but can grab the attention of companies like Compliance Recruitment Solutions (Dublin, Geneva, London & Madrid) when they’re searching for someone to fill a temporary position.
✨Tap into Recruitment Agencies
Reach out to recruitment agencies that specialise in compliance and risk roles. They’re usually in touch with companies looking to fill temporary roles, which can save us a lot of time in our job search.
✨Go Local with Networking
Attend local compliance and risk seminars or workshops. Meeting professionals in our area can open up temp opportunities, and it’s a great way to make your face known in the industry—plus, you might even meet someone from Compliance Recruitment Solutions (Dublin, Geneva, London & Madrid)!
We think you need these skills to ace 12 MONTH IFA COMPLIANCE MANAGER CONTRACT – LEVEL 4 QUALIFIED WITH COMPLIANCE MONITORING EXPERIENCE REQUIRED in Warrington
Some tips for your application 🫡
Show Your Compliance Know-How:When you’re applying for a compliance-risk role like 12 MONTH IFA COMPLIANCE MANAGER CONTRACT – LEVEL 4 QUALIFIED WITH COMPLIANCE MONITORING EXPERIENCE REQUIRED, make sure to highlight your understanding of industry regulations and risk management principles. Mention any relevant coursework, certifications, or projects that showcase your expertise in these areas—it's what sets you apart!
Highlight Your Analytical Skills:In the compliance-risk field, strong analytical skills are essential. Talk about your experiences that required critical thinking and data analysis, whether in past roles, internships, or academic projects. Show us how you've identified risks and implemented solutions in the past.
Tailor Your CV for the Temporary Role:Since this is a temporary role, focus on your availability and flexibility in your CV. Highlight any previous short-term roles or projects that demonstrate your ability to adapt quickly and deliver results in a fast-paced environment. This helps employers see you as an easy fit in their team!
A Concise Cover Letter is Key:Keep your cover letter short and focused! Explain why you're interested in the compliance-risk area specifically for this temporary position at Compliance Recruitment Solutions (Dublin, Geneva, London & Madrid). Mention what you hope to learn and achieve, showing your enthusiasm and motivation to contribute positively during your time there.
How to prepare for a job interview at Compliance Recruitment Solutions (Dublin, Geneva, London & Madrid)
✨Know Your Compliance Basics
Make sure you're clued up on the key compliance and risk regulations pertinent to the industry you're applying to. Understanding frameworks like GDPR or AML will not only impress but also show that you’re ready to hit the ground running in your temporary role at Compliance Recruitment Solutions (Dublin, Geneva, London & Madrid).
✨Prepare for Scenarios
Expect scenario-based questions that test your problem-solving skills. They might ask how you'd handle a specific compliance issue. Think through real situations you’ve encountered in past roles or study hypothetical cases to showcase your analytical skills and practical judgement during the interview.
✨Highlight Your Adaptability
Since this is a temporary position, emphasise your ability to adapt quickly to new environments and team dynamics. Share examples of how you’ve successfully adjusted to changes in past roles and how this flexibility can benefit Compliance Recruitment Solutions (Dublin, Geneva, London & Madrid) in the short term.
✨Gather Your Technical Tools
Familiarise yourself with commonly used compliance tools or software, as they might come up in the interview. If you've used tools for risk assessments or compliance tracking, mention those and be ready to discuss how they can streamline processes at Compliance Recruitment Solutions (Dublin, Geneva, London & Madrid).
