At a Glance
- Tasks: Lead compliance efforts and ensure regulatory requirements are met across the business.
- Company: Top Investment Management and Financial Advisory firm in North Yorkshire.
- Benefits: Excellent benefits package and opportunities for professional growth.
- Other info: Join a collaborative team focused on ethical practices and regulatory excellence.
- Why this job: Make a significant impact in a high-profile role within a dynamic financial environment.
- Qualifications: Degree calibre with senior experience in Financial Services compliance.
The predicted salary is between 60000 - 80000 £ 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 in York employer: Lime People Search & Select Ltd
As an Independent Financial Advice practice, we pride ourselves on fostering a collaborative and supportive work environment where your contributions truly matter. Located in a vibrant area, we offer competitive benefits, opportunities for professional development, and a culture that values innovation and teamwork, making it an ideal place for those looking to grow their careers in the financial 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 in York
✨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 discussing your past roles, focus on 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 in York
Some tips for your application 🫡
Check Your CV:Before you hit that apply button, give your CV a good once-over. Make sure it highlights your relevant experience in compliance and financial services, as this is what we’re really looking for!
Tailor Your Application:Don’t just send the same old application everywhere! Take a moment to tailor your cover letter and CV to reflect how your skills align with the specific requirements of the Senior/Head of Compliance role. We love seeing candidates who take the time to connect their experience with our needs.
Showcase Your Expertise:In your application, be sure to showcase your knowledge of regulatory requirements and compliance risks. We want to see how you’ve navigated these challenges in your previous roles, so don’t hold back on those examples!
Apply Through Our Website:We encourage you to apply through our website for a smoother process. It’s the best way to ensure your application gets into the right hands and shows us you’re serious about joining our team!
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 also on top of current trends.
✨Showcase Your Experience
Prepare to share concrete examples from your past roles where you've successfully managed compliance risks or improved systems and controls. Use the STAR method (Situation, Task, Action, Result) to structure your answers and highlight your achievements.
✨Understand the Business
Research the firm thoroughly before the interview. Understand their business model, client base, and any recent news or changes in their compliance landscape. This will help you tailor your responses and demonstrate your genuine interest in the role.
✨Build Rapport with Interviewers
Remember, interviews are a two-way street! Engage with your interviewers by asking insightful questions about their compliance challenges and how they see the role evolving. This not only shows your interest but also helps you gauge if the company is the right fit for you.
