At a Glance
- Tasks: Ensure compliance with FCA regulations and support business growth initiatives.
- Company: Join a dynamic Independent Financial Advice firm with ambitious growth plans.
- Benefits: Competitive salary, professional development, and a supportive work culture.
- Other info: Opportunity to influence operational change and enhance your career in a client-centric environment.
- Why this job: Play a key role in maintaining regulatory standards while working closely with advisers.
- Qualifications: Minimum 2 years' experience in IFA Compliance and strong knowledge of FCA regulations.
The predicted salary is between 40000 - 50000 £ per year.
MERJE is partnering with a growing Independent Financial Advice firm that is looking to appoint a Compliance Manager to support the business through its next phase of growth. This is an excellent opportunity for an experienced IFA Compliance professional who enjoys working closely with advisers and senior management, whilst playing a key role in maintaining regulatory standards and supporting business development initiatives. The successful candidate will join a well-established advice business with ambitious growth plans and a strong client-centric culture.
Key Responsibilities
- Monitor and ensure adherence to FCA regulations and internal policies.
- Conduct compliance monitoring reviews, audits, file checks, and risk assessments.
- Manage and support the Training & Competence framework, including FIT assessments.
- Handle complaints, investigations, and regulatory reporting requirements.
- Develop, review, and maintain compliance policies and procedures.
- Provide guidance and support to advisers and management on regulatory matters.
- Liaise with regulators, auditors, and external stakeholders where required.
- Support operational change projects and business growth initiatives from a compliance perspective.
- Conduct due diligence on providers, platforms, and third-party relationships.
- Monitor mandatory training and adviser competence requirements.
About You
- A minimum of 2 years' experience within an IFA Compliance role.
- Level 4 Diploma (CII or LIBF) or be close to completion.
- Strong working knowledge of FCA regulations relevant to Financial Advice firms.
- Experience conducting compliance monitoring and file reviews.
- Exposure to Training & Competence frameworks and adviser oversight.
- Excellent written and verbal communication skills.
- Strong organisational skills and attention to detail.
Desirable Experience
- FCA reporting and regulatory returns.
- Complaints handling and investigations.
- Experience supporting business growth or operational change.
- Provider, platform, and third-party due diligence.
- Awareness of PII, cyber insurance, and wider risk management considerations.
- Exposure to AI-driven process improvements within financial services.
Applicants must be located and eligible to work in the UK without sponsorship.
Compliance Manager in Birmingham employer: MERJE Ltd
MERJE is an exceptional employer, offering a dynamic work environment within a growing Independent Financial Advice firm that prioritises a client-centric culture and ambitious growth plans. Employees benefit from a collaborative atmosphere where compliance professionals can thrive, with ample opportunities for professional development and engagement with senior management and advisers. Located in the UK, this role not only provides a chance to influence regulatory standards but also to be part of a forward-thinking team dedicated to supporting business initiatives.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Manager in Birmingham
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like MERJE Ltd looking for candidates who are engaged and informed.
We think you need these skills to ace Compliance Manager in Birmingham
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at MERJE Ltd. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at MERJE Ltd
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with MERJE Ltd’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
