At a Glance
- Tasks: Oversee compliance policies and support operational workflows in a dynamic financial planning firm.
- Company: Join a growing financial planning firm focused on effective compliance and operational excellence.
- Benefits: Competitive salary, professional development, and a supportive team environment.
- Other info: Ideal for organised individuals who thrive in a hands-on, collaborative environment.
- Why this job: Make a real impact by improving processes and supporting colleagues in a vital role.
- Qualifications: Experience in compliance within IFA or wealth management and strong knowledge of UK regulations.
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.
Compliance Manager in Taunton employer: Fram Executive Search Limited
Fram is an excellent employer for those seeking a meaningful role in the financial planning sector, offering a collaborative work culture that values process improvement and operational excellence. Employees benefit from ongoing professional development opportunities, a supportive team environment, and the chance to make a tangible impact on the business's success. Located in a vibrant area, the firm fosters a dynamic atmosphere where compliance professionals can thrive and grow their careers.
Contact Details:
Fram Executive Search Limited Recruitment Team
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Manager in Taunton
✨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
Prepare for those tricky questions! Brush up on UK financial services regulations and be ready to discuss how you've implemented compliance measures in past roles. We know it can be daunting, but being well-prepared will help you shine.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we’re always looking for passionate individuals who are ready to take on the challenges of a Compliance Manager role.
We think you need these skills to ace Compliance Manager in Taunton
Some tips for your application 🫡
Read the Job Description Carefully:Before you dive into your application, make sure you thoroughly read the job description. It’s packed with info about what we’re looking for in a Compliance Manager, so understanding it will help you tailor your application to show us you’re the right fit.
Show Off Your Experience:When writing your application, highlight your experience in compliance and practice management. We want to see how your background aligns with our needs, especially if you've worked in an IFA or wealth management environment. Don’t be shy—let us know what you’ve achieved!
Be Specific About Your Skills:Make sure to mention your strong knowledge of UK financial services regulation and any experience with Intelliflo Office. We’re looking for someone who can hit the ground running, so being specific about your skills will help us see how you can contribute from day one.
Apply Through Our Website:We encourage you to apply through our website for a smoother process. It’s the best way for us to keep track of your application and ensure it gets the attention it deserves. Plus, it shows us you’re keen on joining our team!
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 regulations and compliance policies. Be ready to discuss how your experience aligns with the role, especially if you've worked in an IFA or wealth management environment.
✨Show Off 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. Highlighting these experiences will show that you're not just about monitoring but also about making things better.
✨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 instances where you've successfully supported colleagues or worked closely with advisory teams to maintain high standards.
✨Be Organised and Hands-On
The job requires someone who is organised and practical. During the interview, convey your ability to balance compliance responsibilities with the day-to-day realities of running a business. Bring along any tools or methods you use to stay organised and effective.
