At a Glance
- Tasks: Oversee compliance policies, support regulatory requirements, and improve operational workflows.
- Company: A growing financial planning firm focused on effective operations and team support.
- Benefits: Competitive salary, professional development, and a collaborative work environment.
- Other info: Opportunity for career growth in a hands-on role within the financial services sector.
- Why this job: Make a real impact by enhancing processes and supporting colleagues in a dynamic setting.
- Qualifications: Experience in IFA or wealth management, strong compliance knowledge, and organisational skills.
The predicted salary is between 50000 - 60000 £ per year.
Fram is working with a growing financial planning firm that is looking to engage a Compliance Manager to support its advisers, operational teams, and wider business. While compliance sits at the heart of the role, the position is broader than a traditional monitoring function and will suit someone who enjoys improving processes, supporting colleagues, and helping a business operate effectively.
The role involves overseeing compliance policies and procedures, supporting regulatory requirements, and ensuring operational workflows remain consistent and well controlled. There is regular interaction with advisers, paraplanners, and administrators, alongside responsibility for helping maintain standards across the client journey.
This may appeal to someone with significant experience within an IFA or wealth management environment who has developed a strong understanding of both compliance and practice management. Experience implementing compliance processes, supporting operational improvements, and working closely with advisory teams will be important.
Strong knowledge of UK financial services regulation and Intelliflo Office is essential. The role suits someone who is organised, commercially aware, hands-on, and comfortable balancing compliance responsibilities with the practical realities of running a successful financial planning business.
Applicants must have the right to work in the UK.
Compliance Manager in Bath employer: Fram Executive Search Limited
Fram is an exceptional employer that fosters a collaborative and supportive work culture, making it an ideal place for a Compliance Manager to thrive. With a focus on employee growth and development, the firm offers opportunities to enhance your skills while working closely with advisers and operational teams in a dynamic financial planning environment. Located in the heart of the UK, Fram provides a unique chance to contribute to meaningful compliance improvements that directly impact client experiences and business success.
Contact Details:
Fram Executive Search Limited Recruitment Team
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Manager in Bath
✨Tip Number 1
Network like a pro! Reach out to your connections in the financial planning and compliance sectors. We all know that sometimes it’s not just what you know, but who you know. Attend industry events or webinars to meet potential employers and get your name out there.
✨Tip Number 2
Show off your skills! When you get the chance to chat with hiring managers or during interviews, highlight your experience with compliance processes and operational improvements. We want to see how you can make a real difference in their business!
✨Tip Number 3
Be proactive! If you find a company you’re keen on, don’t wait for them to post a job. Reach out directly through our website and express your interest. A little initiative can go a long way in landing that dream role.
✨Tip Number 4
Prepare for those tricky questions! Brush up on your knowledge of UK financial services regulation and be ready to discuss how you’ve implemented compliance processes in the past. We want to see that you’re not just book-smart but also practical and hands-on.
We think you need these skills to ace Compliance Manager in Bath
Some tips for your application 🫡
Tailor Your CV:Make sure your CV speaks directly to the Compliance Manager role. Highlight your experience in compliance and practice management, especially within an IFA or wealth management environment. We want to see how your skills align with what we’re looking for!
Showcase Your Process Improvement Skills:Since this role is about improving processes, don’t shy away from sharing examples of how you've enhanced workflows in previous positions. We love seeing candidates who can demonstrate their hands-on approach to operational improvements.
Highlight Regulatory Knowledge:Strong knowledge of UK financial services regulation is a must. Make sure to mention any relevant qualifications or experiences that showcase your understanding of compliance policies and procedures. This will help us see you as a strong fit for the role!
Apply Through Our Website:We encourage you to apply through our website for a smoother application process. It’s the best way for us to receive your application and ensures you don’t miss out on any important updates from us!
How to prepare for a job interview at Fram Executive Search Limited
✨Know Your Compliance Stuff
Make sure you brush up on UK financial services regulation and any specific compliance processes relevant to the role. Being able to discuss these confidently will show that you're not just familiar with the basics, but that you truly understand the intricacies of compliance in a financial planning context.
✨Showcase Your Process Improvement Skills
Prepare examples of how you've improved processes in previous roles. This could be anything from streamlining compliance workflows to enhancing operational efficiency. Be ready to explain the impact of your changes and how they benefited the team or business.
✨Engage with the Team Dynamics
Since the role involves regular interaction with advisers and operational teams, think about how you can demonstrate your collaborative skills. Share experiences where you've successfully worked with different teams to achieve compliance goals or improve client journeys.
✨Be Organised and Hands-On
The job requires someone who is organised and practical. During the interview, highlight your organisational strategies and how you balance compliance responsibilities with day-to-day operations. This will reassure them that you can handle the demands of the role effectively.
