At a Glance
- Tasks: Lead compliance efforts and ensure regulatory requirements are met across the business.
- Company: A top Investment Management and Financial Advisory firm in North Yorkshire.
- Benefits: Excellent benefits package and opportunities for professional growth.
- Other info: Join a dynamic team focused on ethical practices and regulatory excellence.
- Why this job: Make a significant impact in a high-profile role within a growing firm.
- Qualifications: Degree calibre with senior-level experience in Financial Services compliance.
The predicted salary is between 43200 - 72000 £ per year.
My client is a leading Investment Management and Financial Advisory firm based in North Yorkshire providing both businesses and individuals with full Financial Planning services. Due to the continued successful growth of the business and the need to embrace new regulatory requirements, the business is seeking an experienced Compliance professional.
This high-profile role provides regulatory and technical advice and expertise across the Investment Management and Financial Advice areas in all compliance issues associated with client-facing activities.
Key deliverables in the role include:
- Understanding key compliance risks across the business and working in collaboration with the Board and Senior Management to co-ordinate and align responsibilities.
- Ensuring that regulatory requirements are clearly defined and implemented throughout the client-facing functions of the business in a proportionate and cost-effective manner.
- Involvement with the management of compliance horizon scanning to ensure that new regulatory compliance requirements are implemented in a timely manner.
- Maintain and enhance where applicable a robust set of systems and controls that minimise regulatory risk.
- Managing a positive relationship with the regulator and ensuring satisfactory outcomes of FCA reviews/exercises.
As the ideal candidate you will:
- Be of degree calibre and preferably hold a relevant professional compliance/regulatory qualification.
- Have proven senior level experience in Financial Services compliance, preferably within a Financial Advice, Wealth / Investment Management and/or within a Retail Investments environment.
- Demonstrate proven experience of contributing to strategy and operational plans in a regulated environment.
- Have a track record of working in accordance with all regulatory, compliance and conduct risk policies with an understanding of the regulatory environment, particularly FCA systems & controls and conduct of business regulation (especially Suitability and Product Governance).
- Demonstrate a strong appreciation of Compliance and Conduct Risk and how these are embedded within a business.
- Have direct experience of managing a successful relationship with the FCA.
- Have experience of dealing with client assets in accordance with the CASS rules.
- Ideally hold Level 6 Chartered Qualification or Level 4 Diploma in Financial Planning, or CISI Certificate in Private Client Investment Advice and Management, or equivalent.
- Be highly ethical and principled, analytical and diligent.
- Be self-motivated, well organised and proactive with good communication skills and the ability to influence at senior levels across the business.
You will be rewarded with an excellent benefits package which can be discussed upon application for the role in detail.
Senior / Head of Compliance employer: Lime People Search & Select Ltd
As a leading Investment Management and Financial Advisory firm in North Yorkshire, we pride ourselves on fostering a collaborative and inclusive work culture that prioritises employee growth and development. Our commitment to compliance excellence not only ensures regulatory adherence but also empowers our team members with the tools and support they need to thrive in their careers. With a competitive benefits package and a focus on ethical practices, we offer a rewarding environment for professionals seeking to make a meaningful impact in the financial services sector.
Contact Details:
Lime People Search & Select Ltd Recruitment Team
StudySmarter Expert Advice🤫
We think this is how you could land Senior / Head of Compliance
✨Tip Number 1
Network like a pro! Reach out to your connections in the financial services sector, especially those who have experience in compliance. A friendly chat can lead to insider info about job openings or even a referral.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of FCA regulations and compliance best practices. We recommend creating a cheat sheet of key points to discuss, so you can impress the interviewers with your expertise.
✨Tip Number 3
Showcase your achievements! When you get the chance to speak about your past roles, highlight specific examples where you successfully managed compliance risks or improved processes. Numbers and outcomes speak volumes!
✨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 Senior / Head of Compliance
Some tips for your application 🫡
Tailor Your CV:Make sure your CV speaks directly to the job description. Highlight your experience in compliance and regulatory matters, especially in Financial Services. We want to see how your background aligns with the key deliverables of the role.
Craft a Compelling Cover Letter:Your cover letter is your chance to shine! Use it to explain why you're the perfect fit for this Senior Compliance role. Share specific examples of your past achievements and how they relate to the responsibilities outlined in the job description.
Showcase Your Qualifications:Don’t forget to mention any relevant qualifications you hold, like the Level 6 Chartered Qualification or Level 4 Diploma in Financial Planning. We love seeing candidates who are committed to their professional development!
Apply Through Our Website:We encourage you to apply through our website for a smoother application process. It helps us keep track of your application and ensures you don’t miss out on any important updates from us!
How to prepare for a job interview at Lime People Search & Select Ltd
✨Know Your Compliance Stuff
Make sure you brush up on the latest regulatory requirements and compliance frameworks relevant to the financial services sector. Being able to discuss specific regulations, like FCA systems & controls, will show that you're not just familiar with the basics but are genuinely engaged with the field.
✨Showcase Your Strategic Mindset
Prepare examples of how you've contributed to strategy and operational plans in previous roles. This is a senior position, so demonstrating your ability to align compliance with business objectives will be key. Think about times when you’ve influenced decision-making at a high level.
✨Build Rapport with Regulators
Be ready to talk about your experience managing relationships with regulators, especially the FCA. Share specific instances where you’ve navigated challenges or achieved satisfactory outcomes during reviews. This will highlight your ability to maintain a positive relationship while ensuring compliance.
✨Demonstrate Ethical Leadership
As a compliance professional, ethics are paramount. Prepare to discuss how you’ve embedded compliance and conduct risk within a business culture. Use examples that showcase your analytical skills and diligence, as well as your proactive approach to compliance issues.
