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- Tasks: Lead compliance efforts and ensure regulatory requirements are met in a dynamic financial environment.
- 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 on compliance strategy in a high-profile role.
- Qualifications: Degree calibre with senior experience in Financial Services compliance.
The predicted salary is between 70000 - 90000 £ 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
Contact Detail:
Lime People Search & Select Recruiting 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 are already in compliance roles. A friendly chat can lead to insider info about job openings or even referrals.
✨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 experience with real-life examples during interviews. We all love a good story, so share how you've tackled compliance challenges in the past and the positive outcomes that followed.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we’re always on the lookout for talented individuals like you to join our team.
We think you need these skills to ace Senior / Head of Compliance
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the role of Senior / Head of Compliance. Highlight your relevant experience in Financial Services compliance and any qualifications that match the job description. We want to see how you fit into our world!
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 role. Share specific examples of your experience with regulatory requirements and compliance risks, and how you've successfully navigated them in the past.
Showcase Your Achievements: Don’t just list your responsibilities; showcase your achievements! Use metrics or specific outcomes to demonstrate how you've contributed to compliance strategies and operational plans. We love seeing how you've made a difference!
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. Plus, it’s super easy!
How to prepare for a job interview at Lime People Search & Select
✨Know Your Compliance Stuff
Make sure you brush up on the latest FCA regulations and compliance frameworks relevant to the role. Being able to discuss specific regulatory requirements and how they impact client-facing activities will show that you're not just familiar with the basics, but that you’re genuinely engaged with the compliance landscape.
✨Showcase Your Strategic Mindset
Prepare examples of how you've contributed to strategy and operational plans in previous roles. Think about times when you identified compliance risks and worked collaboratively with senior management to address them. This will demonstrate your ability to think strategically and align compliance with business goals.
✨Build Rapport with the Interviewers
Remember, interviews are a two-way street! Engage with your interviewers by asking insightful questions about their compliance challenges and how they manage relationships with regulators. This shows that you’re not only interested in the role but also in understanding the company’s unique compliance environment.
✨Highlight Your Ethical Approach
As a compliance professional, ethics are key. Be prepared to discuss how you’ve maintained high ethical standards in your previous roles. Share specific instances where your diligence and principled approach made a difference, especially in managing client assets or navigating complex regulatory situations.