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- Tasks: Lead the development of compliance functions and support financial planning strategies.
- Company: Join a growing Wealth Manager focused on delivering top-notch financial advice.
- Benefits: Enjoy flexible working options and competitive salary up to £75,000.
- Why this job: Be part of a forward-thinking team that values compliance and client care.
- Qualifications: Degree educated with experience in compliance or training within financial services.
- Other info: Opportunity to shape the first line compliance function in a dynamic environment.
The predicted salary is between 45000 - 75000 £ per year.
Lutine Bell are currently supporting a growing Wealth Manager looking to appoint a Compliance Manager into the 1LOD to scope and build the first line function in the business.
Responsibilities:
- Supporting the structured handover of first line tasks currently with the Central Compliance function.
- Supporting the Financial Planning Leadership Team with key decisions on distribution strategies, ensuring that the financial advice provided is best in class.
- Advising the FP Leadership Team on changes to the Advice framework, providing consultation with horizon scanning and consumer duty compliance, with forward-thinking compliance leadership.
- Providing oversight of training and competency (“T&C”) for existing and new advisers, including tracking their progress to Competent Adviser Status (“CAS”).
- Gathering annual evidence of competency for advisers, as part of the annual renewal of Certificates under The Senior Managers and Certification Regime (“SM&CR”) and helping drive higher standards and efficiency in this process.
- Oversight of adviser CPD and SPS logs and gathering quarterly Chartered information for the annual submission to the PFS.
- Production, maintenance, and future development of the Adviser Bonus Overlay.
- Production, maintenance, and future development of the paraplanning Bonus Overlay.
- Closely supporting the production and development of suitability reports.
- Processing and analysing MI on various data points, including our approach to supporting vulnerable clients and evidencing annual reviews.
Requirements:
- Previous experience of working within a first line environment, preferably having established or been part of a growing team within compliance or training and competency in the distribution centres of a financial services company.
- Degree educated with an excellent understanding of financial planning/investment management and the needs and demands of clients receiving financial planning services.
- A sound working knowledge of the FCA Handbook, particularly on Financial Crime Prevention and Training and Competency.
Salary: up to £75,000
Location: UK (flexible working with various offices around the country)
Compliance Manager Compliance Manager employer: Lutine Bell
Contact Detail:
Lutine Bell Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Manager Compliance Manager
✨Tip Number 1
Network with professionals in the compliance and financial services sectors. Attend industry events, webinars, or local meetups to connect with people who can provide insights into the role and potentially refer you to opportunities.
✨Tip Number 2
Stay updated on the latest regulations and compliance trends by following relevant publications and thought leaders in the field. This knowledge will not only help you in interviews but also demonstrate your commitment to the role.
✨Tip Number 3
Consider reaching out to current or former employees of the company to gain insights into their culture and expectations for the Compliance Manager role. This can give you an edge in tailoring your approach during the interview process.
✨Tip Number 4
Prepare specific examples from your past experience that showcase your ability to build and lead compliance functions. Highlight your achievements in training and competency, as well as your understanding of the FCA Handbook, to impress the hiring team.
We think you need these skills to ace Compliance Manager Compliance Manager
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in compliance and training within financial services. Emphasise any roles where you contributed to building or supporting a first line function.
Craft a Compelling Cover Letter: In your cover letter, address how your background aligns with the responsibilities outlined in the job description. Mention specific experiences that demonstrate your understanding of the FCA Handbook and your ability to support financial planning leadership.
Showcase Your Knowledge: Use your application to showcase your knowledge of financial planning and investment management. Discuss how you've previously advised teams on compliance frameworks and consumer duty compliance.
Highlight Training and Competency Experience: Detail your experience with training and competency oversight. Include examples of how you've tracked progress towards Competent Adviser Status and gathered evidence for annual renewals under SM&CR.
How to prepare for a job interview at Lutine Bell
✨Showcase Your Compliance Knowledge
Make sure to brush up on the FCA Handbook, especially sections related to Financial Crime Prevention and Training and Competency. Demonstrating your understanding of these areas will show that you're well-prepared for the role.
✨Highlight Relevant Experience
Be ready to discuss your previous experience in a first line environment. Share specific examples of how you've contributed to building or supporting compliance teams, as this will resonate with what the company is looking for.
✨Prepare for Scenario Questions
Expect questions that assess your problem-solving skills in compliance scenarios. Think about potential challenges you might face in the role and how you would address them, particularly in relation to training and competency oversight.
✨Demonstrate Forward-Thinking
The role requires forward-thinking compliance leadership. Be prepared to discuss how you would approach horizon scanning and adapting to changes in the advice framework, showcasing your proactive mindset.
