Find a job 
Featured Companies 
Featured Universities 
For Companies At a Glance
- Tasks: Lead compliance training and competency for financial advisers, ensuring top-notch advice delivery.
- Company: Join a dynamic Wealth Manager focused on excellence in financial planning and compliance.
- Benefits: Enjoy flexible working options and a competitive salary of up to £75,000.
- Why this job: Be part of a forward-thinking team that values innovation and client care in finance.
- Qualifications: Degree educated with experience in compliance or training within financial services required.
- Other info: Opportunity to shape the first line function in a growing business.
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)
Manager, Training Compliance employer: Lutine Bell
Contact Detail:
Lutine Bell Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Manager, Training Compliance
✨Tip Number 1
Familiarise yourself with the FCA Handbook, especially sections related to Financial Crime Prevention and Training and Competency. This knowledge will not only help you in interviews but also demonstrate your commitment to compliance standards.
✨Tip Number 2
Network with professionals in the financial services sector, particularly those involved in compliance and training. Attend industry events or webinars to make connections that could lead to valuable insights and potential referrals.
✨Tip Number 3
Stay updated on current trends and changes in financial planning and compliance regulations. Being well-informed will allow you to engage in meaningful discussions during interviews and showcase your proactive approach.
✨Tip Number 4
Prepare to discuss specific examples from your past experience where you've successfully implemented compliance measures or improved training processes. Concrete examples will illustrate your capability and fit for the role.
We think you need these skills to ace Manager, Training Compliance
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in compliance and training. Emphasise any previous roles where you supported first line functions or worked within financial services, showcasing your understanding of the FCA Handbook.
Craft a Compelling Cover Letter: In your cover letter, address how your background aligns with the responsibilities outlined in the job description. Mention specific examples of how you've contributed to compliance processes or training initiatives in previous roles.
Highlight Relevant Skills: Focus on skills that are crucial for the role, such as analytical abilities, knowledge of financial planning, and experience with training and competency frameworks. Use concrete examples to demonstrate these skills in action.
Proofread Your Application: Before submitting, carefully proofread your application for any spelling or grammatical errors. A polished application reflects attention to detail, which is essential in a compliance role.
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 are 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 the interviewers.
✨Prepare for Scenario Questions
Expect questions that assess your problem-solving skills in real-world scenarios. Think about how you would handle compliance challenges or improve training processes, and be prepared to articulate your thought process.
✨Demonstrate Forward-Thinking Leadership
The role requires forward-thinking compliance leadership. Be prepared to discuss how you can contribute to the financial planning leadership team and drive higher standards in compliance and training.
