At a Glance
- Tasks: Provide expert regulatory advice and maintain compliance policies for a leading Wealth Manager.
- Company: Established Wealth Manager with a strong reputation in the financial services sector.
- Benefits: Competitive salary, professional development opportunities, and a supportive work environment.
- Other info: Opportunity to pursue further qualifications and advance your career in compliance.
- Why this job: Join a dynamic team and shape the future of compliance in the financial industry.
- Qualifications: CISI Level 3 IOC or equivalent, plus three years' compliance experience.
The predicted salary is between 60000 - 80000 € per year.
Eames Consulting are currently supporting an established Wealth Manager looking to appoint a Senior Compliance Advisory Officer into their London office.
Responsibilities:
- Deliver regulatory advice to the business and act as a key subject matter expert on compliance policy.
- Maintain and oversee the firm’s compliance policy framework.
- Lead regulatory horizon scanning activities and identify forthcoming regulatory developments.
- Provide regular regulatory updates and impact assessments to the Director of Regulation.
- Build strong relationships with internal and external stakeholders to support and promote a strong compliance culture.
Requirements:
- Holds the CISI Level 3 Investment Operations Certificate (IOC) or equivalent.
- Holds, or is prepared to undertake, the CISI Level 6 Compliance Diploma (or equivalent compliance qualification) within two years of joining.
- Minimum of three years’ compliance experience gained within investment management, stockbroking, or broader financial services environments.
Senior Compliance Advisory Officer employer: Eames Consulting
Eames Consulting offers a dynamic and supportive work environment in the heart of London, making it an excellent employer for those seeking to advance their careers in compliance within the wealth management sector. With a strong emphasis on professional development, employees are encouraged to pursue further qualifications, such as the CISI Level 6 Compliance Diploma, while enjoying a collaborative culture that values compliance excellence and stakeholder engagement.
StudySmarter Expert Advice🤫
We think this is how you could land Senior Compliance Advisory Officer
✨Tip Number 1
Network like a pro! Reach out to your connections in the compliance and financial services sectors. Attend industry events or webinars to meet potential employers and get your name out there.
✨Tip Number 2
Prepare for interviews by brushing up on your regulatory knowledge. Be ready to discuss recent developments in compliance and how they might impact the business. Show them you’re not just a candidate, but a valuable asset!
✨Tip Number 3
Don’t underestimate the power of follow-ups! After an interview, send a quick thank-you email. It shows your enthusiasm and keeps you fresh in their minds. Plus, it’s a great chance to reiterate why you’re the perfect fit.
✨Tip Number 4
Apply through our website! We’ve got loads of opportunities that might be perfect for you. Plus, it’s a straightforward way to get your application noticed by the right people.
We think you need these skills to ace Senior Compliance Advisory Officer
Some tips for your application 🫡
Tailor Your CV:Make sure your CV is tailored to the Senior Compliance Advisory Officer role. Highlight your compliance experience and any relevant qualifications, like the CISI Level 3 IOC. We want to see how your background fits with what we're looking for!
Craft a Compelling Cover Letter:Your cover letter is your chance to shine! Use it to explain why you're passionate about compliance and how you can contribute to our strong compliance culture. We love seeing genuine enthusiasm and a clear understanding of the role.
Showcase Your Regulatory Knowledge:Since this role involves delivering regulatory advice and horizon scanning, make sure to mention any specific regulations or compliance frameworks you're familiar with. We appreciate candidates who stay updated on industry changes!
Apply Through Our Website:We encourage you to apply directly through our website. It’s the best way for us to receive your application and ensures you don’t miss out on any important updates. Plus, we love seeing applications come in through our own channels!
How to prepare for a job interview at Eames Consulting
✨Know Your Compliance Stuff
Make sure you brush up on the latest regulatory changes and compliance policies relevant to the wealth management sector. Being able to discuss recent developments and how they impact the business will show that you're not just knowledgeable but also proactive.
✨Showcase Your Experience
Prepare specific examples from your past roles where you've successfully navigated compliance challenges or implemented policies. This will help demonstrate your hands-on experience and how it aligns with the responsibilities of the Senior Compliance Advisory Officer.
✨Build Relationships
Think about how you can illustrate your ability to build strong relationships with stakeholders. Have a few anecdotes ready that highlight your communication skills and how you've fostered a positive compliance culture in previous roles.
✨Ask Insightful Questions
Prepare thoughtful questions about the company's compliance framework and future regulatory challenges. This shows your genuine interest in the role and helps you assess if the company’s values align with yours.
