At a Glance
- Tasks: Oversee compliance policies and support operational workflows in a dynamic financial planning firm.
- Company: Join a growing financial planning firm with a focus on collaboration and improvement.
- Benefits: Competitive salary, professional development, and a supportive team environment.
- Other info: Ideal for organised individuals who thrive in a hands-on, fast-paced environment.
- Why this job: Make a real impact by enhancing 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 - 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
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.
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
Prepare for those interviews! Research the company and its compliance processes thoroughly. We want you to be able to discuss how your experience aligns with their needs, especially in improving operational workflows and supporting regulatory requirements.
✨Tip Number 3
Showcase your skills! Bring examples of how you've implemented compliance processes or improved practices in previous roles. We love seeing candidates who can demonstrate their hands-on experience and commercial awareness in action.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. We’re here to help you land that Compliance Manager role, so make sure you take advantage of all the resources we offer.
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. We’re keen to know how you’ve navigated regulatory requirements in the past!
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. Let’s get started on this journey together!
How to prepare for a job interview at Fram Executive Search
✨Know Your Compliance Stuff
Make sure you brush up on UK financial services regulations before the interview. Be ready to discuss how your experience aligns with the compliance policies and procedures of the firm. They’ll want to see that you can not only monitor compliance but also improve processes.
✨Show Off Your Process Improvement Skills
Prepare examples of how you've successfully implemented compliance processes or improved operational workflows in your previous roles. This will demonstrate your hands-on approach and ability to support colleagues effectively.
✨Engage with the Team Dynamics
Since the role involves regular interaction with advisers and paraplanners, think about how you can showcase your teamwork skills. Share experiences where you’ve collaborated with different teams to maintain standards across the client journey.
✨Be Organised and Commercially Aware
During the interview, highlight your organisational skills and commercial awareness. Discuss how you balance compliance responsibilities with the practical realities of running a successful business. This will show that you understand the bigger picture and can contribute to the firm's success.
