At a Glance
- Tasks: Manage compliance frameworks and conduct monitoring reviews in a tech-led environment.
- Company: Dynamic wealth management firm focused on growth and innovation.
- Benefits: Competitive salary, bonuses, share incentives, and flexible hybrid working.
- Other info: Great opportunity for career development in a supportive culture.
- Why this job: Join a modern team and make a real impact on compliance and governance.
- Qualifications: Experience in compliance within financial services and strong understanding of FCA regulations.
An exciting opportunity has arisen for a Compliance Manager to join a growing, technology-led wealth management business. This role offers the opportunity to work closely with senior leadership whilst supporting the firm's compliance, regulatory, and governance framework. The successful individual will play an important role in ensuring regulatory standards are maintained whilst supporting the continued growth of the business.
Key Responsibilities
- Assist in the management of the firm's compliance framework.
- Conduct compliance monitoring reviews and file checks.
- Support Consumer Duty and FCA regulatory requirements.
- Review and maintain compliance policies and procedures.
- Assist with financial crime, AML, and risk management activities.
- Provide compliance guidance to advisers and colleagues.
- Support regulatory reporting and governance processes.
- Deliver compliance training and contribute to a positive compliance culture.
About You
- Previous compliance experience within wealth management, financial planning, investment management, or broader financial services.
- Strong understanding of FCA regulation and Consumer Duty.
- Knowledge of AML and financial crime requirements.
- Excellent communication and stakeholder management skills.
- Proactive, commercially aware, and solutions-focused approach.
Package
- Competitive salary
- Annual bonus
- Share incentive opportunity
- Pension
- Private Medical Insurance
- Income Protection
- Flexible hybrid working
- Ongoing professional development support
An excellent opportunity for a compliance professional seeking to join a modern and growing financial services business.
Compliance Manager employer: mbf
Join a dynamic and innovative wealth management firm in London, where you will thrive in a supportive hybrid working environment that champions professional growth and development. With a strong focus on compliance and governance, our culture promotes collaboration with senior leadership and offers competitive benefits including a share incentive opportunity and private medical insurance, making it an ideal place for compliance professionals looking to make a meaningful impact.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Manager
✨Tip Number 1
Network like a pro! Reach out to your connections in the compliance and financial services sectors. Attend industry events or webinars to meet potential employers and get your name out there.
✨Tip Number 2
Prepare for interviews by brushing up on FCA regulations and Consumer Duty. We want you to be able to discuss how your experience aligns with the role, so think of examples that showcase your skills in compliance management.
✨Tip Number 3
Don’t underestimate the power of follow-ups! After an interview, drop a quick thank-you email to express your appreciation and reiterate your interest in the Compliance Manager position. It keeps you fresh in their minds!
✨Tip Number 4
Apply through our website! We’ve got a streamlined process that makes it easy for you to submit your application. Plus, it shows you’re genuinely interested in joining our team at this exciting time.
We think you need these skills to ace Compliance Manager
Some tips for your application 🫡
Tailor Your CV:Make sure your CV is tailored to the Compliance Manager role. Highlight your previous compliance experience and any relevant skills that match the job description. We want to see how you can contribute to our compliance framework!
Craft a Compelling Cover Letter:Your cover letter is your chance to shine! Use it to explain why you're passionate about compliance and how your background aligns with our needs. Don’t forget to mention your understanding of FCA regulations and Consumer Duty.
Showcase Your Communication Skills:Since this role involves stakeholder management, make sure to demonstrate your excellent communication skills in your application. We love candidates who can convey complex compliance concepts clearly and effectively!
Apply Through Our Website:We encourage you to apply directly through our website. It’s the best way for us to receive your application and ensures you’re considered for the role. Plus, it shows you’re keen on joining our team!
How to prepare for a job interview at mbf
✨Know Your Regulations
Make sure you brush up on FCA regulations and Consumer Duty before the interview. Being able to discuss these topics confidently will show that you’re not just familiar with compliance but also genuinely interested in the role.
✨Showcase Your Experience
Prepare specific examples from your previous roles in compliance, especially within wealth management or financial services. Highlight how you’ve successfully managed compliance frameworks or conducted monitoring reviews to demonstrate your hands-on experience.
✨Communicate Clearly
Since excellent communication is key for this role, practice articulating your thoughts clearly and concisely. You might be asked to explain complex compliance concepts, so being able to simplify them will impress your interviewers.
✨Ask Insightful Questions
Prepare thoughtful questions about the company’s compliance culture and how they support their team. This shows your proactive nature and genuine interest in contributing to a positive compliance environment.
