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- Tasks: Lead compliance for financial advisors and ensure their competency in a dynamic wealth management firm.
- Company: Join a market-leading Wealth and Investment Management Firm in London, expanding rapidly after a recent acquisition.
- Benefits: Enjoy hybrid working, a competitive salary, and an excellent bonus package.
- Why this job: Be part of a growing team that values compliance and offers impactful training opportunities.
- Qualifications: 5+ years in compliance with a T&C scheme experience; Level 4 advisory qualification preferred.
- Other info: Work closely with the CCO and engage in diverse projects while supporting financial advisors.
The predicted salary is between 72000 - 108000 £ per year.
Maldon Partners Compliance and Risk are recruiting a Senior Compliance Executive (T&C Supervisor) on a permanent basis for a market leading Wealth and Investment Management Firm based in London. The firm has recently acquired another big player in the market and is growing in all areas. The role requires an experienced compliance professional who has solid experience of running a T&C Scheme for Financial Advisors (Financial Planning). Hybrid working 3 days in the office.
The Role:
- Reporting Directly to the CCO, the role holder will predominantly be responsible for providing advice to the front office (Financial Advisors) and ensuring they are competent.
Responsibilities will include but not be limited to:
- Compliance advisory for the front office (Financial Advisers)
- Defining compliant processes for front office
- Compliance adviser for products and services offered
- Vulnerable clients compliance adviser
- FCA/SEC filings
- Ad hoc project work
- Training of staff in areas such as SM&CR, client classification, advisory
- Overseeing the firm's certification programme
- Liaison with third party file review firm
- Training and Competency (T&C) Supervisor
- Producing timely and accurate management information to support risk management
- Generalist compliance monitoring
Experienced Required:
- Previous experience of running a T&C scheme for financial advisors
- A minimum of 5 years compliance experience gained within a wealth/investment management firm.
- Level 4 advisory/compliance qualification
DESIRABLE:
- Excellent verbal and written communication skills
- Good Microsoft skills (Excel and Word)
Salary: The Senior Compliance role has a base salary of c£90,000 - £100,000 depending on experience plus excellent benefits and bonus package. Hybrid working 3 days in the office is also on offer!
Training and Competency Supervisor (Wealth Mangement) employer: Maldon Partners
Contact Detail:
Maldon Partners Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Training and Competency Supervisor (Wealth Mangement)
✨Tip Number 1
Network with professionals in the wealth management sector. Attend industry events or webinars where you can meet compliance experts and financial advisors. Building these connections can provide valuable insights and potentially lead to referrals.
✨Tip Number 2
Stay updated on the latest regulations and compliance trends in the financial services industry. This knowledge will not only help you in interviews but also demonstrate your commitment to the role and the firm’s compliance culture.
✨Tip Number 3
Prepare to discuss specific examples of how you've successfully implemented T&C schemes in previous roles. Highlighting your hands-on experience will show that you can hit the ground running and add immediate value to the team.
✨Tip Number 4
Familiarise yourself with the firm's recent acquisitions and their impact on compliance practices. Understanding the business context will allow you to tailor your discussions and demonstrate your proactive approach to the role.
We think you need these skills to ace Training and Competency Supervisor (Wealth Mangement)
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your experience in running a T&C scheme for financial advisors. Use specific examples that demonstrate your compliance expertise and any relevant qualifications.
Craft a Compelling Cover Letter: In your cover letter, address the key responsibilities mentioned in the job description. Explain how your previous roles have prepared you for this position and showcase your communication skills.
Highlight Relevant Experience: When detailing your work history, focus on your compliance experience within wealth and investment management. Mention any specific projects or initiatives you've led that align with the role's requirements.
Proofread Your Application: Before submitting, carefully proofread your application for any spelling or grammatical errors. A polished application reflects your attention to detail, which is crucial in compliance roles.
How to prepare for a job interview at Maldon Partners
✨Showcase Your Compliance Knowledge
Make sure to brush up on your compliance regulations, especially those relevant to wealth management. Be prepared to discuss your experience with T&C schemes and how you've successfully implemented them in previous roles.
✨Demonstrate Communication Skills
As a Training and Competency Supervisor, you'll need excellent verbal and written communication skills. Practice articulating your thoughts clearly and concisely, and be ready to provide examples of how you've effectively communicated compliance matters to financial advisors.
✨Prepare for Scenario-Based Questions
Expect scenario-based questions that assess your problem-solving abilities in compliance situations. Think of specific instances where you had to advise on compliance issues or train staff, and be ready to explain your thought process and outcomes.
✨Familiarise Yourself with the Firm's Culture
Research the firm’s values and culture, especially since they have recently expanded. Understanding their approach to compliance and risk management will help you align your answers with their expectations during the interview.
