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- Tasks: Ensure compliance with regulations and support financial planners in a dynamic environment.
- Company: A growing financial advice firm in central Edinburgh with a warm culture.
- Benefits: Attractive salary, benefits package, hybrid working, and career growth opportunities.
- Why this job: Make a real impact on compliance standards while working closely with leadership.
- Qualifications: Minimum two years' experience in financial planning and strong knowledge of FCA regulations.
- Other info: Join during a pivotal growth phase and see the difference you make.
The predicted salary is between 36000 - 60000 £ per year.
A growing financial advice firm is looking for an experienced Compliance professional to help maintain high standards of regulatory adherence and operational integrity. This is a key role within their team for someone who thrives on detail, understands compliance risks and wants to make a real impact in a dynamic, warm and professional environment in central Edinburgh. Full or part time working can be considered.
The role holder will work closely with senior leadership and external compliance resources to ensure all activities align with FCA regulations. Responsibilities include overseeing advice and sales procedures with their IFAs, training and competency supervision, monitoring regulatory requirements, conducting audits, and promoting a culture of best practice with the financial planners across the business. The role also involves preparing compliance reports for the board and keeping processes up to date.
Key Responsibilities- Ensure compliant advice and sales processes are in place and followed.
- Identify and mitigate risks to the firm and its clients.
- Maintain SM&CR documentation and competency records.
- Review client files and monitor training and competence frameworks.
- Provide compliance updates and prepare quarterly MI reports for the board.
- Support junior financial planners in achieving competency.
- Minimum two years' experience in a financial planning or IFA environment.
- Strong knowledge of FCA regulations and compliance principles.
- Experience in internal audits and regulatory reporting.
- Excellent organisational and communication skills.
- Professional compliance qualifications are desirable but not essential.
In return they are offering an attractive salary, benefits package, hybrid working and the opportunity to join them during a growing time in their history and see the impact your daily duties make.
Compliance manager in London employer: Eden Scott
Contact Detail:
Eden Scott Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance manager in London
✨Tip Number 1
Network like a pro! Reach out to your connections in the financial advice sector and let them know you're on the lookout for compliance roles. You never know who might have the inside scoop on job openings or can put in a good word for you.
✨Tip Number 2
Prepare for interviews by brushing up on FCA regulations and compliance principles. We recommend creating a cheat sheet of key topics and questions that might come up, so you can showcase your expertise and confidence when it counts.
✨Tip Number 3
Don’t just apply anywhere; focus on firms that align with your values and career goals. Check out our website for opportunities that match your skills and interests, and tailor your approach to each company’s culture.
✨Tip Number 4
Follow up after interviews! A quick thank-you email can go a long way in leaving a positive impression. Use this opportunity to reiterate your enthusiasm for the role and how you can contribute to their compliance efforts.
We think you need these skills to ace Compliance manager in London
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Compliance Manager role. Highlight your experience in financial planning and compliance, especially any work with FCA regulations. We want to see how your skills align 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 team. Be sure to mention any specific experiences that relate to the responsibilities listed in the job description.
Showcase Your Attention to Detail: As a Compliance Manager, attention to detail is key. In your application, make sure to demonstrate this quality. Whether it's through your CV formatting or the clarity of your writing, we want to see that you take pride in your work!
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’re considered for the role. Plus, it shows us you’re keen on joining our team!
How to prepare for a job interview at Eden Scott
✨Know Your Compliance Stuff
Make sure you brush up on FCA regulations and compliance principles before the interview. Being able to discuss specific regulations and how they apply to the role will show that you're not just familiar with the basics, but that you truly understand the compliance landscape.
✨Showcase Your Organisational Skills
As a Compliance Manager, attention to detail is key. Prepare examples of how you've successfully managed compliance processes or audits in the past. This will demonstrate your ability to maintain high standards and keep everything running smoothly.
✨Prepare for Scenario Questions
Expect questions that ask how you would handle specific compliance scenarios. Think about potential risks and how you would mitigate them. Practising these responses can help you articulate your thought process clearly during the interview.
✨Engage with the Team Culture
Since the firm values a warm and professional environment, be ready to discuss how you can contribute to their culture. Share experiences where you've worked collaboratively with teams, especially in training or supporting junior staff, to highlight your fit within their dynamic.
