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- Tasks: Join our team to oversee financial advisers and ensure compliance excellence.
- Company: We're a leading financial planning and investment management firm with a strong reputation.
- Benefits: Enjoy a collaborative work environment and opportunities for professional growth.
- Why this job: Make a real impact in financial advice while working closely with leadership.
- Qualifications: Degree educated with experience in compliance or financial services required.
- Other info: Flexibility to travel is a plus; only successful candidates will be contacted.
The predicted salary is between 43200 - 72000 £ per year.
This highly successful financial planning and discretionary investment management house is currently recruiting for an experienced, organised, and knowledgeable FLOD Compliance Manager to join their Financial Planning Leadership Team to build and deliver oversight of their Financial Advisers. The role will report to the Managing Director whilst work very closely with the Regional Directors, Financial Planning Training Manager and Director of Wealth Operations to be a key contributor to this important distribution channel.
Key responsibilities:
- Working closely day-to-day with the retail leadership team, you will have a dotted line to the central Risk and Compliance function where you will maintain a clear line of communication sharing best practice and helping to deliver remedial action from thematic reviews, and reporting to the Chief Compliance Officer when requested.
- Scoping, building, and delivering a robust first line function and strategy.
- 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, so that the financial advice that is provided is the best in class.
- You will advise the FP Leadership Team on changes to the Advice framework, provide consultation to the Leadership Team with horizon scanning and consumer duty compliance, with forward thinking compliance leadership.
- Closely supporting the production and development of our suitability reports.
- Processing and analysing MI on various data points that include Company approach to supporting vulnerable clients and our completion and evidencing of annual reviews.
- Reporting any breaches or conflicts of interest to the Chief Compliance Officer.
- Investigating any errors within the team where there is the potential for client harm, and writing to clients to ensure they are not affected financially.
- Close monitoring and support to the pods with regards to the capturing of anti-money laundering identification and verification as well as dealing with politically exposed people.
- Maintaining the Advice Guide in respect of Compliance requirements and legislation change, so as to give guidance to the Advisers, Paraplanners and Client Services.
- Assistance in the production of Consumer Duty MI for the Consumer Duty Champion.
Background and Experience:
- Essential that you will have had previous experience of working within a first line environment, preferably having established the team or been part of a growing team within compliance or training and competency that sat within the distribution centres of a financial services company.
- Degree educated and you must have an excellent understanding of financial planning/investment management and the needs and demands of clients that receive financial planning services.
- A sound working knowledge of the FCA Handbook, particularly on Financial Crime Prevention and Training and Competency.
- You must thrive on working independently and have a good manner with the advisor teams making sure that they understand that you are there to support them in their jobs and to help provide the best service for their clients and reduce risk.
- Excellent interpersonal, verbal, and written communication skills with strong attention to detail. Outstanding communication skills, able to communicate with departments across the business, at all levels.
- The ability to take ownership and responsibility for tasks and projects, working autonomously and collaborating as needed with key stakeholders.
- Proficient computer skills, Microsoft Office Suite (Word, PowerPoint, Outlook, SharePoint, and Excel).
- A willingness and flexibility to travel to office sites as required. If you are able to drive and have your own transport, that would be highly advantageous.
- Qualifications in Financial Services, either as an adviser or in Compliance, Risk, or Supervision.
Please note that due to the high volume of applicants responding to our adverts we are regrettably not able to feedback on all applications; only successful candidates will be contacted
FLoD Compliance Manager employer: Meredith Brown Associates Ltd
Contact Detail:
Meredith Brown Associates Ltd Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land FLoD Compliance Manager
✨Tip Number 1
Familiarize 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.
✨Tip Number 2
Network with professionals in the financial services industry, particularly those who work in compliance or financial planning. Engaging with them can provide insights into the role and may even lead to referrals.
✨Tip Number 3
Prepare to discuss your experience in building or being part of a first line compliance team. Highlight specific examples where you contributed to compliance strategies or improved processes within your previous roles.
✨Tip Number 4
Showcase your interpersonal skills during the interview process. Be ready to explain how you've successfully collaborated with various departments and supported teams in achieving compliance objectives.
We think you need these skills to ace FLoD Compliance Manager
Some tips for your application 🫡
Understand the Role: Take the time to thoroughly read the job description for the FLoD Compliance Manager position. Understand the key responsibilities and required qualifications, and think about how your experience aligns with these.
Tailor Your CV: Customize your CV to highlight relevant experience in compliance, financial planning, and investment management. Emphasize your previous roles in first line environments and any leadership or team-building experiences.
Craft a Strong Cover Letter: Write a compelling cover letter that showcases your understanding of the financial services industry and your ability to support financial advisers. Mention specific examples of how you've contributed to compliance and risk management in past roles.
Highlight Communication Skills: Since excellent communication skills are essential for this role, ensure that your application reflects your ability to communicate effectively with various stakeholders. Provide examples of how you've successfully collaborated with teams or departments in the past.
How to prepare for a job interview at Meredith Brown Associates Ltd
✨Show Your Compliance Knowledge
Make sure to demonstrate your understanding of the FCA Handbook and financial crime prevention during the interview. Be prepared to discuss specific examples from your past experience that highlight your expertise in compliance and risk management.
✨Highlight Your Interpersonal Skills
Since this role requires excellent communication with various teams, share instances where you've successfully collaborated with others. Emphasize your ability to support advisor teams and how you can help them provide the best service for clients.
✨Discuss Your Experience in First Line Environments
Be ready to talk about your previous roles in first line compliance environments. Highlight any experience you have in building or being part of a growing team, as well as how you contributed to the overall compliance strategy.
✨Prepare for Scenario-Based Questions
Expect questions that assess your problem-solving skills, especially regarding client harm or breaches. Think of scenarios where you had to investigate issues and how you communicated with clients to resolve them effectively.
