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- Tasks: Lead compliance efforts for a team of advisors and manage compliance documentation.
- Company: Join a long-established, owner-run IFA with a strong national presence and consistent growth.
- Benefits: Enjoy flexible hybrid work options and a competitive salary up to £70,000 with great benefits.
- Why this job: Be part of a supportive firm that values compliance excellence and offers career growth opportunities.
- Qualifications: Strong interpersonal skills; IFA background preferred, but junior candidates with relevant experience are welcome.
- Other info: Apply now with your CV to join a respected firm in the industry!
The predicted salary is between 42000 - 84000 £ per year.
Job Description Our client is a long-established, owner-run IFA with a strong national presence and a decade of consistent growth. They pride themselves on maintaining the highest standards of compliance and are seeking a skilled Head of Compliance to lead their compliance efforts for a team of advisors. Position Overview: The Head of Compliance will play a crucial role in ensuring the firm adheres to all regulatory requirements and maintains exceptional compliance standards. This position requires a leader who can effectively manage compliance documentation, oversee regulatory returns, and support the firm’s advisors in navigating compliance challenges. Key Responsibilities: Oversee compliance for a team of advisors, ensuring adherence to regulatory standards. Manage compliance documentation, including RMAR oversight, to uphold the firm’s integrity. Review Professional Indemnity (PI) insurance letters, ensuring adequate coverage and compliance. Maintain high standards for regulatory returns, ensuring timely and accurate submissions. Ideal Candidate Profile: Strong interpersonal skills with the ability to build relationships and connect with advisors. An IFA background is preferred; however, candidates from a restricted background may also be considered. Junior candidates with relevant experience in regulatory returns are welcome to apply. Qualifications should be as robust as possible, reflecting a commitment to compliance excellence. Work Environment: Join a supportive and well-respected firm with a rich history in the industry. Flexible work arrangement with the possibility of 2-3 days per week hybrid working arrangement. Compensation Package: Competitive salary up to £70,000. Benefits include pension, death in service, and critical illness cover. Please apply with an up to date copy of your CV today if this role is of interest to you. #J-18808-Ljbffr
Head of Compliance employer: Heat Recruitment
Contact Detail:
Heat Recruitment Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Head of Compliance
✨Tip Number 1
Make sure to familiarize yourself with the latest regulatory requirements in the financial advisory sector. This knowledge will not only help you in interviews but also demonstrate your commitment to compliance excellence.
✨Tip Number 2
Network with professionals in the compliance field, especially those who have experience in the IFA sector. Building these connections can provide valuable insights and potentially lead to referrals.
✨Tip Number 3
Prepare to discuss specific compliance challenges you've faced in previous roles and how you overcame them. This will showcase your problem-solving skills and ability to support advisors effectively.
✨Tip Number 4
Highlight any experience you have with managing compliance documentation and regulatory returns. Being able to speak confidently about these processes will set you apart as a strong candidate for the Head of Compliance role.
We think you need these skills to ace Head of Compliance
Some tips for your application 🫡
Understand the Role: Take the time to thoroughly read the job description for the Head of Compliance position. Understand the key responsibilities and ideal candidate profile to tailor your application accordingly.
Highlight Relevant Experience: In your CV and cover letter, emphasize your experience in compliance, particularly any roles that involved managing compliance documentation or overseeing regulatory returns. Use specific examples to demonstrate your expertise.
Showcase Interpersonal Skills: Since strong interpersonal skills are crucial for this role, make sure to include examples of how you've successfully built relationships with advisors or colleagues in previous positions.
Tailor Your CV: Ensure your CV is up to date and tailored to reflect your qualifications and commitment to compliance excellence. Highlight any relevant certifications or training that align with the requirements of the position.
How to prepare for a job interview at Heat Recruitment
✨Understand Regulatory Standards
Make sure you have a solid grasp of the regulatory standards relevant to the role. Be prepared to discuss how you have ensured compliance in previous positions and how you would approach compliance challenges in this new role.
✨Showcase Your Leadership Skills
As a Head of Compliance, you'll need to lead a team effectively. Highlight your leadership experience and provide examples of how you've successfully managed teams or projects in the past, especially in compliance-related contexts.
✨Prepare for Scenario-Based Questions
Expect questions that assess your problem-solving skills in real-world compliance scenarios. Think about past experiences where you navigated complex compliance issues and be ready to share those stories.
✨Emphasize Interpersonal Skills
Since building relationships with advisors is key, be prepared to discuss how you connect with others. Share examples of how you've fostered collaboration and communication in previous roles, particularly in compliance settings.
