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- Tasks: Lead compliance efforts and support financial advisers in delivering top-notch service.
- Company: Join a leading financial planning and investment management firm in London.
- Benefits: Enjoy a collaborative work environment with opportunities for professional growth.
- Why this job: Be part of a dynamic team shaping the future of financial advice and compliance.
- Qualifications: Degree educated with experience in compliance or training within financial services required.
- Other info: Flexibility to travel and strong communication skills are essential.
The predicted salary is between 48000 - 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 working 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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Training & Compliance Manager (Wealth Management). 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 Training & Compliance Manager (Wealth Management). Job in London Education & Training Jobs
✨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 and understanding of regulatory requirements.
✨Tip Number 2
Network with professionals in the financial services industry, particularly those involved in compliance and training. Attend relevant events or webinars to connect with potential colleagues and learn about best practices in the field.
✨Tip Number 3
Prepare to discuss specific examples from your past experience where you've successfully implemented compliance strategies or improved training processes. Highlight your ability to work independently while also collaborating with teams to achieve common goals.
✨Tip Number 4
Showcase your strong communication skills by practicing how you would explain complex compliance issues to non-compliance staff. Being able to convey information clearly and effectively is crucial for this role.
We think you need these skills to ace Training & Compliance Manager (Wealth Management). 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 Training & Compliance Manager position. Tailor your application to highlight your relevant experience in compliance and financial planning.
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 expertise and achievements.
Showcase Communication Skills: Given the importance of communication in this role, ensure that your application reflects your strong interpersonal and written communication skills. Consider including examples of how you've effectively communicated with various stakeholders in past roles.
Tailor Your Cover Letter: Craft a personalized cover letter that addresses the key responsibilities mentioned in the job description. Discuss how your background aligns with the company's goals and how you can contribute to their Financial Planning Leadership Team.
How to prepare for a job interview at Meredith Brown Associates Ltd
✨Showcase Your Compliance Knowledge
Make sure to highlight your understanding of the FCA Handbook and financial crime prevention during the interview. Be prepared to discuss how you've applied this knowledge in previous roles, especially in a first line environment.
✨Demonstrate Strong Interpersonal Skills
Since the role involves working closely with various teams, emphasize your ability to communicate effectively with different departments. Share examples of how you've successfully collaborated with others to achieve common goals.
✨Prepare for Scenario-Based Questions
Expect questions that assess your problem-solving skills, particularly in situations involving compliance breaches or client harm. Think of specific instances where you took ownership of a situation and the positive outcomes that resulted.
✨Express Your Commitment to Continuous Improvement
Discuss your approach to staying updated on compliance regulations and best practices. Mention any relevant training or certifications you've pursued, and how you plan to contribute to the ongoing development of the compliance function within the company.
