At a Glance
- Tasks: Provide regulatory advice and maintain compliance frameworks in a dynamic wealth management firm.
- Company: Fast-growing independent wealth management firm with £2bn AUM.
- Benefits: Competitive salary, hybrid working, and comprehensive benefits package.
- Other info: Genuine opportunities for progression as the business expands.
- Why this job: Join a respected firm and make a real impact on compliance across various areas.
- Qualifications: 3-6+ years of compliance experience in FCA regulated environments.
The predicted salary is between 60000 - 75000 £ per year.
An exciting opportunity has arisen to join a fast-growing, independent wealth management firm with approximately £2bn of Assets Under Management. Following continued expansion and strategic acquisitions, the business is looking to strengthen its Compliance function with the appointment of a Senior Compliance Analyst.
This is a broad, second-line compliance role offering exposure across advisory, investment management and operational compliance. Working closely with senior members of the Compliance team, you will provide pragmatic regulatory advice, help maintain the firm's compliance framework and ensure the business continues to meet its FCA obligations whilst supporting commercial growth.
Key Responsibilities- Provide day-to-day regulatory advice and guidance to stakeholders across the business.
- Support the ongoing development and maintenance of the firm's compliance framework, policies and procedures.
- Interpret new FCA rules and regulatory developments, assessing their impact on the business (horizon scanning).
- Assist in delivering the Compliance Monitoring Programme, documenting findings and following up on remedial actions.
- Review financial promotions, client communications and marketing material.
- Support the implementation and ongoing oversight of Consumer Duty requirements.
- Assist with complaints oversight, breach management and regulatory notifications where required.
- Support Financial Crime controls, including AML, sanctions, PEPs, fraud prevention and enhanced due diligence.
- Maintain compliance registers including breaches, gifts & hospitality, conflicts of interest and personal account dealing.
- Produce compliance MI and reporting for senior management and governance committees.
- Deliver compliance training and support the embedding of a strong compliance culture.
- Work closely with the business on regulatory projects, acquisitions and business change initiatives.
- The successful candidate will have compliance experience within an FCA regulated Wealth Management, Financial Planning, Investment Management or Private Banking environment and possess a strong working knowledge of the FCA Handbook.
- Experience working with many of the following regulatory areas:
- COBS (Conduct of Business Sourcebook)
- Consumer Duty (PRIN & Cross-Cutting Rules)
- SMCR (Senior Managers & Certification Regime)
- SYSC (Senior Management Arrangements, Systems & Controls)
- DISP (Complaints Handling)
- Financial Promotions Rules
- Financial Crime, including AML, Sanctions, PEPs and Anti-Bribery & Corruption
- Data Protection / UK GDPR
- Vulnerable Customers Guidance
- PROD (Product Governance) (desirable)
- MCOB knowledge where mortgage advice forms part of the wider business (desirable)
- 3-6+ years' Compliance experience within Financial Services.
- Experience within Wealth Management, Financial Advice, Investment Management or another FCA regulated environment.
- Strong understanding of FCA regulatory expectations and how they apply in practice.
- Experience undertaking compliance monitoring, thematic reviews or second-line assurance activities.
- Confident providing practical compliance advice to stakeholders across the business.
- Excellent written communication, report writing and analytical skills.
- Ability to prioritise competing workloads in a fast-paced, collaborative environment.
- Professional compliance qualifications (ICA or equivalent) are advantageous but not essential.
- Join a highly respected, growing wealth management business with approximately £2bn AUM.
- Broad, varied role with exposure across all areas of compliance.
- Genuine opportunities for progression as the business continues to grow through acquisition.
- Hybrid working.
- Competitive salary and comprehensive benefits package.
Senior Compliance Analyst in Watford employer: fs talent
As a leading financial services organisation based in London, we pride ourselves on fostering a dynamic and inclusive work culture that prioritises employee growth and development. Our hybrid work model offers flexibility, while our commitment to compliance and innovation ensures that you will be at the forefront of the FinTech industry, making a meaningful impact in a rapidly evolving market.
StudySmarter Expert Advice🤫
We think this is how you could land Senior Compliance Analyst in Watford
✨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 fs talent looking for candidates who are engaged and informed.
We think you need these skills to ace Senior Compliance Analyst in Watford
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 fs talent. 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 fs talent
✨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 fs talent’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
