At a Glance
- Tasks: Lead compliance initiatives and manage complaints in a dynamic financial environment.
- Company: Join a leading financial advisory firm with a strong reputation.
- Benefits: Competitive salary based on experience, plus opportunities for professional growth.
- Other info: Exciting career progression in a fast-paced financial services sector.
- Why this job: Make a real difference in compliance while working with a talented team.
- Qualifications: 3-5 years in compliance, with a Level 4 CII Diploma or equivalent.
The predicted salary is between 36000 - 60000 £ per year.
Compliance Manager (Generalist) / Compliance Officer (Consumer Duty / Complaints Handling)
This range is provided by ETRA Talent. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.
Two Positions:
1) Generalist Compliance Manager with background from IFA / Tied FA
2) Compliance Officer (Consumer Duty / Complaints Handling - IFA / Tied FA)
Critical Skills and Experience required:
- Minimum 3 to 5+ years in a senior compliance role within a regulated financial planning or wealth management firm. Proven experience leading a small to medium compliance team across multiple locations
- Strong generalist knowledge of the FCA Handbook, particularly COBS, SYSC and PRIN (including Consumer Duty). Familiarity with Connect, RegData, AML controls and conduct risk
Essential Qualifications and skills:
- Level 4 CII Diploma in Regulated Financial Planning or equivalent relevant qualification
- Analytical mindset
- Confident presentation to senior management
Compliance Officer (Consumer Duty / Complaints Handling - IFA/ Tied FA)
Requirements
- Proven track record in compliance roles within established and large financial advisory firms
- Deep knowledge and understanding of FCA regulatory requirements, especially around advice, suitability, complaint handling and Consumer Duty
- Extensive experience managing and resolving complaints within a regulated financial advice environment
- Strong technical knowledge of financial planning products and services (e.g. pensions, investments, protection, tax planning)
- Experience working across multiple regulated advice business is highly desirable
- Ability to balance regulatory requirements with commercial business understanding
- Strong stakeholder engagement and communication skills, with ability to influence and challenge constructively
- Level 4 CII Diploma in Regulated Financial Planning or equivalent relevant qualification
Salary Please note salary will be dependant on experience.
Note: If you are relevant—or know someone who might be—do apply or forward on.
Thank you
Seniority level
- Mid-Senior level
Employment type
- Full-time
Job function
- Finance and Other
Industries
- Financial Services and Investment Management
Compliance Manager and Compliance Officer in Harrogate employer: ETRA Talent
Join a leading financial services firm that prioritises compliance and ethical practices, offering a dynamic work environment in the heart of the city. With a strong commitment to employee development, we provide extensive training opportunities and a supportive culture that encourages collaboration and innovation. Our competitive benefits package and focus on work-life balance make us an exceptional employer for those seeking a fulfilling career in compliance management.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Manager and Compliance Officer in Harrogate
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like ETRA Talent looking for candidates who are engaged and informed.
We think you need these skills to ace Compliance Manager and Compliance Officer in Harrogate
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at ETRA Talent. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at ETRA Talent
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with ETRA Talent’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
