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- Tasks: Lead a team to enhance compliance and manage regulatory risks in financial services.
- Company: Respected firm in wealth management and investment sector.
- Benefits: Competitive salary, career growth, and a collaborative work environment.
- Why this job: Shape compliance culture and influence key processes in a leading organisation.
- Qualifications: CISI or CII Level 4 qualification and 5 years' compliance experience required.
- Other info: Opportunity for impactful leadership in a values-driven company.
The predicted salary is between 60000 - 80000 £ per year.
MERJE are delighted to be supporting a long standing and highly respectable firm who operate within the wealth management, financial planning and investment sector as they seek to strengthen their compliance function with the addition of an experienced Senior Compliance Manager to elevate the firm's approach to regulatory assurance, oversight and investment suitability.
Reporting to the Head of Regulation the Senior Compliance Manager plays a pivotal role within the business to ensure effective oversight and management of compliance risks. The role provides independent oversight of the Compliance Risks across the organisation and ensures the business adheres to regulatory requirements, internal policies and industry standards.
The Role
- Lead and develop a small team, fostering a proactive and positive compliance culture.
- Design and implement a risk-based monitoring plan aligned with the firm's risk appetite and FCA expectations.
- Deliver second-line oversight and thematic reviews, ensuring timely testing and follow-up actions.
- Produce clear, insightful reports for senior management and the board, highlighting key risks and recommendations.
- Collaborate across Risk, Compliance, and Operations to strengthen the control environment and enhance regulatory resilience.
About You
- Minimum CISI or CII Level 4 qualification (Level 6 in progress desirable).
- At least 5 years' experience in compliance or assurance within financial services or another regulated environment to include knowledge of investment suitability.
- Strong stakeholder management, communication, and analytical skills.
- Proven experience delivering monitoring or thematic review activities in line with FCA standards.
- Team leadership or supervisory experience, ideally with a small team of 3-7 professionals.
The Opportunity
This is an exciting managerial role with ownership of the compliance monitoring function in a highly regarded financial services firm. You'll have business-wide visibility and genuine scope to influence and enhance the firm's risk culture, shaping both processes and behaviours.
If you're an experienced compliance professional seeking a leadership role in a collaborative, values-driven organisation, we'd love to hear from you.
Senior Compliance Manager - Investment Suitability in England employer: MERJE Ltd
Contact Detail:
MERJE Ltd Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Senior Compliance Manager - Investment Suitability in England
✨Tip Number 1
Network like a pro! Reach out to your connections in the financial services sector and let them know you're on the hunt for a Senior Compliance Manager role. You never know who might have the inside scoop on openings or can put in a good word for you.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of FCA standards and investment suitability. We recommend creating a list of potential questions and practicing your responses. This will help you feel confident and ready to showcase your expertise.
✨Tip Number 3
Don’t underestimate the power of follow-ups! After an interview, send a quick thank-you email to express your appreciation for the opportunity. It shows your enthusiasm and keeps you fresh in their minds.
✨Tip Number 4
Apply through our website for the best chance at landing that dream job! We make it easy for you to showcase your skills and experience directly to the hiring team. Plus, it’s a great way to stay updated on new opportunities.
We think you need these skills to ace Senior Compliance Manager - Investment Suitability in England
Some tips for your application 🫡
Tailor Your CV: Make sure your CV speaks directly to the role of Senior Compliance Manager. Highlight your experience in compliance, especially in investment suitability, and showcase any relevant qualifications like CISI or CII.
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're the perfect fit for this role. Mention your leadership experience and how you can foster a positive compliance culture within the team.
Showcase Your Analytical Skills: In your application, don’t forget to mention specific examples where you've delivered monitoring or thematic reviews. This will demonstrate your ability to align with FCA standards and enhance regulatory resilience.
Apply Through Our Website: We encourage you to apply through our website for a smoother process. It’s the best way for us to receive your application and ensures you don’t miss out on any important updates!
How to prepare for a job interview at MERJE Ltd
✨Know Your Compliance Stuff
Make sure you brush up on the latest FCA regulations and investment suitability standards. Being able to discuss these confidently will show that you're not just familiar with compliance but are also passionate about it.
✨Showcase Your Leadership Skills
Prepare examples of how you've led teams in the past, especially in compliance settings. Highlight your ability to foster a positive culture and how you've successfully managed compliance risks within a team.
✨Be Ready for Scenario Questions
Expect questions that put you in hypothetical situations related to compliance challenges. Think through how you would design a risk-based monitoring plan or handle a compliance breach, as this will demonstrate your analytical skills.
✨Communicate Clearly and Confidently
Practice articulating your thoughts clearly, especially when discussing complex compliance issues. Remember, you'll need to produce insightful reports for senior management, so showing strong communication skills in the interview is key.