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: Ideal for organised individuals who thrive in a hands-on, commercially aware role.
- Why this job: Make a real impact by enhancing processes and supporting colleagues in a dynamic setting.
- 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 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 a vibrant area, the company promotes a healthy work-life balance and values innovative contributions to improve processes and compliance standards.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Manager
✨Tip Number 1
Network like a pro! Reach out to your connections in the financial planning and compliance sectors. Attend industry events or webinars where you can meet potential employers and showcase your expertise.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of UK financial services regulation and Intelliflo Office. We want you to be ready to discuss how your experience aligns with the role and how you can improve processes within the firm.
✨Tip Number 3
Showcase your hands-on approach! During interviews, share specific examples of how you've successfully balanced compliance responsibilities with operational improvements in previous roles. This will demonstrate your ability to thrive in a dynamic environment.
✨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 are proactive about their job search!
We think you need these skills to ace Compliance Manager
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.
Be Clear on Compliance Knowledge:We need someone with a strong grasp of UK financial services regulation. Make sure to mention any relevant qualifications or experiences that showcase your knowledge in this area. It’s crucial for us to know you’re up to speed with compliance standards.
Apply Through Our Website:We encourage you to apply through our website for a smoother application process. It helps us keep everything organised and ensures your application gets the attention it deserves. Plus, it’s super easy!
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 compliance policies and procedures, as well as any specific examples of how you've improved processes in previous roles.
✨Show Your Team Spirit
This role involves a lot of interaction with advisers and operational teams, so be prepared to talk about how you've supported colleagues in the past. Share examples of how you've collaborated to maintain standards and improve workflows, highlighting your hands-on approach.
✨Demonstrate Your Organisational Skills
Since the job requires balancing compliance responsibilities with practical business operations, come equipped with examples that showcase your organisational skills. Discuss how you've managed multiple tasks or projects simultaneously while ensuring compliance is never compromised.
✨Familiarise Yourself with Intelliflo Office
If you have experience with Intelliflo Office, make sure to mention it! If not, do a bit of research to understand its functionalities. Being able to discuss how you can leverage this tool to support compliance and operational improvements will definitely impress your interviewers.
