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- Tasks: Lead compliance services across Wealth, Mortgage & Protection channels while advising key stakeholders.
- Company: Join an ambitious adviser network known for its inclusive and supportive culture.
- Benefits: Enjoy a dynamic work environment with opportunities for professional growth and collaboration.
- Why this job: Be part of a key role that shapes a customer-centric culture and influences business strategy.
- Qualifications: Experience in Financial Services with knowledge of FCA handbooks is essential.
- Other info: This position offers the chance to engage with senior leaders and make a real impact.
The predicted salary is between 43200 - 72000 £ per year.
My client, an ambitious & growing adviser network known for their inclusive & supportive culture, are looking to appoint a dynamic & solutions-oriented Compliance professional to provide effective compliance services across the Wealth, Mortgage & Protection channels.
Reporting to the Compliance Director, the role will support the design & delivery of the compliance plan, providing effective advice & consultancy to key stakeholders across the business, contributing to business strategy & operations.
This includes:
- Undertaking monitoring & assurance activities
- Advising Channel Heads on control enhancements, actions & solutions
- Collaborate & influence senior leaders on balancing commercial objectives with their regulatory obligations
- Support with FCA regulatory visits and thematic reviews
This is a key role within an evolving Compliance function, providing support and challenge to ExCo and the senior leadership team to assist in developing a customer-centric culture.
The ideal candidate will have worked in a Financial Services business in a 2nd Line role; have up-to-date knowledge of FCA handbooks (including SYSC, COB, MCOB, ICOB, T&C); be an effective communicator with the ability to engage and influence senior stakeholders; demonstrate an understanding of the strategic objectives of the firm and the resulting impact on processes; possess the ability to operate independently and as part of a team.
Davies Talent Solutions | Compliance Manager employer: Davies Talent Solutions
Contact Detail:
Davies Talent Solutions Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Davies Talent Solutions | Compliance Manager
✨Tip Number 1
Familiarize yourself with the latest FCA handbooks and regulations. This knowledge will not only help you in interviews but also demonstrate your commitment to staying updated in the compliance field.
✨Tip Number 2
Network with professionals in the financial services sector, especially those in compliance roles. Engaging with them can provide insights into the company culture and expectations, which can be invaluable during your application process.
✨Tip Number 3
Prepare to discuss specific examples of how you've successfully influenced senior stakeholders in previous roles. Highlighting your communication skills and ability to balance commercial objectives with regulatory obligations will set you apart.
✨Tip Number 4
Research the company's values and culture. Understanding their inclusive and supportive environment will allow you to tailor your approach and show how you align with their mission during discussions.
We think you need these skills to ace Davies Talent Solutions | Compliance Manager
Some tips for your application 🫡
Understand the Role: Make sure to thoroughly read the job description and understand the key responsibilities and requirements. Tailor your application to highlight your relevant experience in compliance within the financial services sector.
Highlight Relevant Experience: In your CV and cover letter, emphasize your previous roles in compliance, particularly in a 2nd Line capacity. Mention specific examples of how you've contributed to compliance plans or advised on regulatory obligations.
Showcase Communication Skills: Since the role requires effective communication with senior stakeholders, provide examples in your application that demonstrate your ability to engage and influence others. This could include successful projects or initiatives where you collaborated with leadership.
Demonstrate Knowledge of FCA Regulations: Clearly outline your understanding of FCA handbooks and relevant regulations in your application. Mention any specific experiences where you have applied this knowledge in a practical setting.
How to prepare for a job interview at Davies Talent Solutions
✨Understand the Compliance Landscape
Make sure you have a solid grasp of the FCA handbooks and relevant regulations. Be prepared to discuss how these impact the business and your approach to compliance.
✨Showcase Your Communication Skills
As an effective communicator, you should be ready to demonstrate how you've successfully engaged with senior stakeholders in the past. Share specific examples where your advice led to positive outcomes.
✨Highlight Your Problem-Solving Abilities
Prepare to discuss situations where you've identified compliance issues and proposed actionable solutions. This will showcase your dynamic and solutions-oriented mindset.
✨Emphasize Team Collaboration
Since the role involves working closely with various teams, be ready to talk about your experience in collaborative environments. Highlight instances where you influenced decisions while balancing commercial objectives with regulatory obligations.
