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- Tasks: Lead compliance advisory for retail investments and pensions, ensuring regulatory adherence.
- Company: Join a top Financial Services Group with a rapidly expanding Compliance Department.
- Benefits: Enjoy a competitive salary of £70K - £80K and 50% hybrid working options.
- Why this job: Be part of a dynamic team, driving regulatory changes and making a real impact.
- Qualifications: Experience in compliance advisory, particularly in pensions and retail investments, is essential.
- Other info: Opportunities for internal progression and a supportive work culture await you.
The predicted salary is between 60000 - 84000 £ 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.41bf1e1f-b16b-4260-a40a-17c77a06fd15
COMPLIANCE ADVISORY MANAGER - EXPERIENCE OF RETAIL INVESTMENTS AND PENSIONS REQUIRED employer: Compliance Recruitment Solutions
Contact Detail:
Compliance Recruitment Solutions 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
Make sure you have a solid understanding of the FCA Handbook and Consumer Duty. Familiarise yourself with recent regulatory changes in retail investments and pensions, as this knowledge will be crucial during discussions with the hiring team.
✨Tip Number 2
Network with professionals in the compliance field, especially those who have experience in retail investments and pensions. Attend industry events or webinars to connect with potential colleagues and gain insights into current compliance challenges.
✨Tip Number 3
Prepare to discuss specific examples from your past experience where you've successfully navigated regulatory challenges or implemented compliance policies. This will demonstrate your practical knowledge and problem-solving skills to the interviewers.
✨Tip Number 4
Research the company’s recent compliance initiatives and any public statements regarding their approach to regulatory changes. Showing that you are informed about their operations will help you stand out as a candidate who is genuinely interested in the role.
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 Compelling Cover Letter: In your cover letter, explain why you're the perfect fit for the Compliance Advisory Manager role. Mention your understanding of the FCA Handbook and Consumer Duty, and how your previous roles have prepared you for this position.
Showcase Relevant Experience: When detailing your work history, focus on your advisory roles related to compliance. Include any specific projects where you supported regulatory changes or developed compliance policies, as these will be crucial for this position.
Proofread Your Application: Before submitting, carefully proofread your application materials. Ensure there are no spelling or grammatical errors, and that all information is clear and concise. A polished application reflects your attention to detail, which is vital in compliance roles.
How to prepare for a job interview at Compliance Recruitment Solutions
✨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 successfully navigated regulatory changes and supported teams in implementing them.
✨Showcase Problem-Solving Skills
Highlight your ability to investigate and resolve compliance breaches or concerns. Prepare to discuss any past experiences where you identified potential compliance issues and the steps you took to address them.
✨Engage with the Compliance Team
Express your enthusiasm for working closely with compliance leads and risk teams. Show that you understand the importance of collaboration in maintaining compliance and be ready to discuss how you can contribute to a team environment.
