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- Tasks: Lead compliance for financial advisors and ensure their competency in a dynamic environment.
- 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; Level 4 advisory/compliance qualification required.
- Other info: Work closely with the CCO and engage in diverse projects while supporting front office staff.
The predicted salary is between 72000 - 120000 £ 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 for the role.
✨Tip Number 2
Stay updated on the latest regulations and compliance trends in the wealth management industry. This knowledge will not only help you in interviews but also demonstrate your commitment to the field and your ability to advise effectively.
✨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 have the practical skills needed for this position.
✨Tip Number 4
Familiarise yourself with the firm’s recent acquisitions and their impact on compliance practices. Understanding their current challenges and opportunities will allow you to tailor your discussions during interviews, showcasing your proactive approach.
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. Emphasise your compliance experience within wealth and investment management, and include any relevant qualifications.
Craft a Compelling Cover Letter: In your cover letter, address the specific responsibilities mentioned in the job description. Explain how your previous roles have prepared you for providing compliance advice to financial advisors and managing training programmes.
Showcase Communication Skills: Since excellent verbal and written communication skills are essential, consider including examples of how you've effectively communicated compliance processes or trained staff in your previous positions.
Highlight Relevant Projects: If you've worked on ad hoc projects related to compliance or training, mention these in your application. This will demonstrate your ability to handle diverse responsibilities and contribute to the firm's growth.
How to prepare for a job interview at Maldon Partners
✨Know Your Compliance Regulations
Make sure you have a solid understanding of the compliance regulations relevant to wealth management. Brush up on FCA/SEC guidelines and be prepared to discuss how you've applied these in your previous roles.
✨Demonstrate Your T&C Experience
Be ready to share specific examples of how you've successfully run a Training and Competency scheme for financial advisors. Highlight any challenges you faced and how you overcame them.
✨Showcase Your Communication Skills
Since the role involves advising the front office, it's crucial to demonstrate your excellent verbal and written communication skills. Prepare to discuss how you've effectively communicated compliance processes to non-compliance staff.
✨Prepare for Scenario-Based Questions
Expect scenario-based questions that assess your problem-solving abilities in compliance situations. Think about past experiences where you had to make quick decisions or provide guidance under pressure.
