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- Tasks: Join the Financial Planning Leadership Team to oversee and support financial advisers.
- Company: A leading financial planning and investment management firm in London.
- Benefits: Collaborative work environment, opportunities for professional growth, and potential travel perks.
- Why this job: Be a key player in enhancing financial advice quality while working with experienced professionals.
- Qualifications: Degree educated with experience in compliance or training within financial services.
- Other info: Only successful candidates will be contacted due to high application volume.
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.
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FLoD Compliance Manager. Job in London Education & Training Jobs 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. Job in London Education & Training Jobs
✨Tip Number 1
Make sure to 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 and managing teams within a compliance environment. Highlight specific examples where you've contributed to improving compliance processes or training programs.
✨Tip Number 4
Showcase your interpersonal skills during the interview by demonstrating how you've successfully collaborated with various departments. Be ready to share examples of how you've supported advisor teams in achieving their goals.
We think you need these skills to ace FLoD Compliance Manager. Job in London Education & Training Jobs
Some tips for your application 🫡
Understand the Role: Make sure you thoroughly understand the responsibilities and requirements of the FLoD Compliance Manager position. Tailor your application to highlight your relevant experience in compliance, financial planning, and team leadership.
Highlight Relevant Experience: In your CV and cover letter, emphasize your previous experience in a first line environment, particularly in compliance or training within financial services. Use specific examples to demonstrate your understanding of the FCA Handbook and your ability to support advisor teams.
Showcase Communication Skills: Since the role requires excellent interpersonal and communication skills, make sure to provide examples of how you've effectively communicated with various departments and stakeholders in your past roles. This can be in your cover letter or during any written assessments.
Tailor Your Application: Customize your cover letter to reflect your enthusiasm for the role and the company. Mention how your skills align with their needs, particularly in building and delivering oversight for Financial Advisers, and your commitment to providing best-in-class financial advice.
How to prepare for a job interview at Meredith Brown Associates Ltd
✨Understand the Compliance Landscape
Make sure you have a solid grasp of the FCA Handbook and its implications for financial crime prevention. Be prepared to discuss how your previous experience aligns with compliance requirements and how you can contribute to maintaining high standards.
✨Showcase Your Interpersonal Skills
Since this role involves working closely with various teams, highlight your ability to communicate effectively across departments. Share examples of how you've successfully collaborated with others to achieve common goals in your past roles.
✨Demonstrate Proactive Problem-Solving
Be ready to discuss specific instances where you've identified potential risks or issues and taken initiative to address them. This will show your capability to support the Financial Planning Leadership Team in making informed decisions.
✨Prepare for Scenario-Based Questions
Expect questions that assess your ability to handle real-life compliance scenarios. Think about how you would approach situations involving client harm or breaches, and be ready to articulate your thought process and decision-making skills.
