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 - 65000 £ 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.
Locations
Compliance Manager in Somerset, Taunton employer: Fram Executive Search Limited
Fram is an exceptional employer that fosters a collaborative and supportive work culture, ideal for professionals seeking to make a meaningful impact in the financial planning sector. With a focus on employee growth and development, the firm offers opportunities to enhance compliance processes while working closely with advisers and operational teams in a dynamic environment. Located in the heart of the UK financial services industry, Fram provides a unique chance to engage with a diverse range of clients and contribute to the success of a growing business.
Contact Details:
Fram Executive Search Limited Recruitment Team
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Manager in Somerset, Taunton
✨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 Fram Executive Search Limited looking for candidates who are engaged and informed.
We think you need these skills to ace Compliance Manager in Somerset, Taunton
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 Fram Executive Search Limited. 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 Fram Executive Search Limited
✨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 Fram Executive Search Limited’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
