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- Tasks: Join our Risk & Compliance team to ensure regulatory compliance and support client outcomes.
- Company: Evelyn Partners, a leading UK wealth management firm with a focus on client success.
- Benefits: Competitive salary, private medical insurance, generous holiday package, and hybrid working options.
- Why this job: Make a real impact in a supportive environment while helping clients achieve their financial goals.
- Qualifications: Good knowledge of regulatory requirements; degree level education preferred.
- Other info: Diverse workplace with strong commitment to inclusion and career development opportunities.
The predicted salary is between 36000 - 60000 £ per year.
Evelyn Partners is a UK leader in wealth management, providing personalised, expert investment management and financial planning advice to support clients in embracing what’s next. Our success hinges on our people and that’s our secret for longevity. We are a team of passionate professionals and everything we do is guided by our purpose – placing the power of good advice into more hands, we go further to understand the needs of our clients and what matters most to them. We’re here to help them make significant decisions with confidence, provide strong foundations for the future and guide them towards their goals.
We’re seeking a talented individual to join our Risk & Compliance team in London. Reporting to the Team Head, you will provide regulatory input to support delivery of good client outcomes, a compliant and risk aware culture and the Group's business model and strategy.
Responsibilities
- Assist in the completion of thematic reviews in accordance with the annual compliance monitoring programme, using appropriate tools and methodologies, and documenting the outcome accurately and in a timely fashion.
- Assist with the ongoing Second Line of Defence assessment of regulatory and conduct risks to ensure the assurance activity completed remains risk based.
- Provide advice on propositional developments, new business opportunities and regulatory change initiatives, ensuring a strong focus on good client outcomes at all times.
- Provide responses to general queries on the FCA Handbook and Evelyn Partners policies and procedures, escalating queries to the senior members of the Compliance team where assistance is required.
- Identify, investigate and report on breaches and incidents, ensuring that these are logged promptly and accurately in the Governance Risk & Control platform and resolved within an appropriate timeframe.
- Assist the Compliance department to maintain up-to-date departmental procedures and collaborate with colleagues from across the 3 Lines of Defence to support the embedding of a client and risk focused culture across the Group.
Qualifications
- Good knowledge and understanding of relevant regulatory requirements, including FSMA 2000, PRA and FCA rulebooks, LSE Rulebook and ISA Regulations.
- Experience of wealth management, suitable advice and good client outcomes preferred but not essential.
- Good interpersonal skills, judgement and decision-making ability, with a determined and proactive approach.
Desired
- Educated to Degree level.
- Relevant regulatory qualifications an advantage.
Additional Information & Benefits
- Competitive salary.
- Private medical insurance.
- Life assurance.
- Pension contribution.
- Hybrid working model (role dependant).
- Generous holiday package.
- Option to purchase additional holiday.
- Shared parental leave.
We are proud to value the differences that a diverse workforce brings, representative of society and our clients. At Evelyn Partners we have a wide range of highly active employee resource groups and we’re delivering multiple diversity, equity and inclusion initiatives across the organisation. It is our commitment to provide a workspace where all colleagues, regardless of identity, background, or circumstance, feel respected as individuals and feel that they can achieve their full potential and work in a safe, supportive, and inclusive environment.
We are happy to make any reasonable adjustments to accommodate for your needs throughout the application process. Please let your Recruiter know.
Senior Compliance Officer in London employer: Evelyn Partners
Contact Detail:
Evelyn Partners Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Senior Compliance Officer in London
✨Tip Number 1
Network like a pro! Reach out to your connections in the compliance and wealth management sectors. Attend industry events or webinars to meet potential employers and get your name out there. Remember, it’s all about who you know!
✨Tip Number 2
Prepare for interviews by researching Evelyn Partners thoroughly. Understand their values and how they align with your experience in compliance. Be ready to discuss how you can contribute to their mission of delivering good client outcomes.
✨Tip Number 3
Showcase your expertise! Bring examples of your past work in compliance, especially any thematic reviews or risk assessments you've conducted. This will demonstrate your hands-on experience and problem-solving skills.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we love seeing candidates who take the initiative to engage directly with us.
We think you need these skills to ace Senior Compliance Officer in London
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Senior Compliance Officer role. Highlight your relevant experience and skills that align with the job description, especially your knowledge of regulatory requirements and compliance processes.
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 your background makes you a great fit for Evelyn Partners. Don’t forget to mention your understanding of good client outcomes!
Showcase Your Interpersonal Skills: Since this role requires good interpersonal skills, make sure to include examples in your application that demonstrate your ability to communicate effectively and work collaboratively within a team.
Apply Through Our Website: We encourage you to apply through our website for a smoother process. It’s the best way for us to receive your application and ensures you don’t miss out on any important updates from our team!
How to prepare for a job interview at Evelyn Partners
✨Know Your Regulations
Make sure you brush up on the relevant regulatory requirements like FSMA 2000, PRA, and FCA rulebooks. Being able to discuss these confidently will show that you’re not just familiar with the rules but also understand how they impact client outcomes.
✨Showcase Your Interpersonal Skills
Evelyn Partners values good interpersonal skills, so be ready to demonstrate your ability to communicate effectively. Think of examples where you've successfully navigated complex situations or provided clear advice to clients, as this will highlight your judgement and decision-making abilities.
✨Prepare for Scenario Questions
Expect questions that ask how you would handle specific compliance scenarios. Prepare by thinking through potential breaches or incidents you might encounter and how you would log and resolve them. This shows your proactive approach and understanding of risk management.
✨Emphasise Team Collaboration
Since the role involves working across the 3 Lines of Defence, be prepared to discuss your experience in collaborating with different teams. Share examples of how you’ve worked with others to embed a client-focused culture, as this aligns with the company’s values.
