At a Glance
- Tasks: Ensure compliance with regulations and support the firm's growth through expert guidance.
- Company: Established financial services firm undergoing exciting growth.
- Benefits: Competitive salary, professional development, and a chance to shape compliance culture.
- Other info: Opportunity for career advancement in a supportive environment.
- Why this job: Join a dynamic team and make a real impact in the financial services sector.
- Qualifications: Level 4 Diploma in Financial Planning and experience in compliance roles.
The predicted salary is between 50000 - 60000 £ per year.
We're working with a well-established financial services business that is looking to appoint an experienced Compliance Manager on an initial 12-month fixed-term contract. This is an excellent opportunity to join a growing firm supporting them while they undergo a period of growth. You’ll play a key role in ensuring the organisation operates in accordance with all applicable regulatory requirements and industry best practice. You’ll provide expert guidance to stakeholders, oversee compliance monitoring activities and contribute to the compliance framework.
Key responsibilities include:
- Support the development, implementation and maintenance of the firm’s compliance framework, policies and procedures
- Monitor regulatory developments and assess their impact on the business
- Conduct compliance monitoring reviews, file reviews and thematic assessments
- Provide regulatory advice and guidance
- Assist with regulatory reporting
- Review and respond to complaints in line with our complaints procedure
- Oversee compliance risk assessments and provide mitigation advice
- Support the delivery of training on compliance and professional standards
- Investigate compliance breaches and manage client complaints
- Prepare compliance and MI reports for the Board
- Promote a positive compliance culture
To be considered, you'll ideally have:
- Essential: Level 4 Diploma in Financial Planning (or equivalent)
- Proven experience in a Compliance Manager or senior compliance role within the Financial Services sector
- Strong grasp of FCA rules and financial advice standards
- Experience conducting compliance monitoring and risk assessments
- Excellent understanding of compliance frameworks, governance, and risk management
- Strong analytical and problem-solving skills
- Ability to interpret complex regulatory requirements and translate them into practical business solutions
- Analytical with exceptional attention to detail and communication skills
Applicants must be located and eligible to work in the UK without sponsorship.
IFA Compliance Manager (12-Month FTC) employer: MERJE
Join a dynamic and innovative InsureTech company that prioritises compliance and regulatory excellence while fostering a collaborative and forward-thinking work culture. As the Head of Compliance, you will not only lead the UK compliance function but also enjoy flexible hybrid working arrangements, competitive salary packages, and ample opportunities for long-term career development in a high-growth environment. This is your chance to make a meaningful impact in a pivotal role at a company that values integrity and consumer protection.
StudySmarter Expert Advice🤫
We think this is how you could land IFA Compliance Manager (12-Month FTC)
✨Dive into Industry Groups
Join compliance and risk management groups on platforms like LinkedIn and Facebook. These communities often share temp job postings and insights. You’d be surprised at how many temporary gigs float around through word of mouth!
✨Showcase Your Expertise
Consider creating content on compliance topics that get you noticed—think LinkedIn articles or even a blog. This not only shows off your knowledge but can grab the attention of companies like MERJE when they’re searching for someone to fill a temporary position.
✨Tap into Recruitment Agencies
Reach out to recruitment agencies that specialise in compliance and risk roles. They’re usually in touch with companies looking to fill temporary roles, which can save us a lot of time in our job search.
✨Go Local with Networking
Attend local compliance and risk seminars or workshops. Meeting professionals in our area can open up temp opportunities, and it’s a great way to make your face known in the industry—plus, you might even meet someone from MERJE!
We think you need these skills to ace IFA Compliance Manager (12-Month FTC)
Some tips for your application 🫡
Show Your Compliance Know-How:When you’re applying for a compliance-risk role like IFA Compliance Manager (12-Month FTC), make sure to highlight your understanding of industry regulations and risk management principles. Mention any relevant coursework, certifications, or projects that showcase your expertise in these areas—it's what sets you apart!
Highlight Your Analytical Skills:In the compliance-risk field, strong analytical skills are essential. Talk about your experiences that required critical thinking and data analysis, whether in past roles, internships, or academic projects. Show us how you've identified risks and implemented solutions in the past.
Tailor Your CV for the Temporary Role:Since this is a temporary role, focus on your availability and flexibility in your CV. Highlight any previous short-term roles or projects that demonstrate your ability to adapt quickly and deliver results in a fast-paced environment. This helps employers see you as an easy fit in their team!
A Concise Cover Letter is Key:Keep your cover letter short and focused! Explain why you're interested in the compliance-risk area specifically for this temporary position at MERJE. Mention what you hope to learn and achieve, showing your enthusiasm and motivation to contribute positively during your time there.
How to prepare for a job interview at MERJE
✨Know Your Compliance Basics
Make sure you're clued up on the key compliance and risk regulations pertinent to the industry you're applying to. Understanding frameworks like GDPR or AML will not only impress but also show that you’re ready to hit the ground running in your temporary role at MERJE.
✨Prepare for Scenarios
Expect scenario-based questions that test your problem-solving skills. They might ask how you'd handle a specific compliance issue. Think through real situations you’ve encountered in past roles or study hypothetical cases to showcase your analytical skills and practical judgement during the interview.
✨Highlight Your Adaptability
Since this is a temporary position, emphasise your ability to adapt quickly to new environments and team dynamics. Share examples of how you’ve successfully adjusted to changes in past roles and how this flexibility can benefit MERJE in the short term.
✨Gather Your Technical Tools
Familiarise yourself with commonly used compliance tools or software, as they might come up in the interview. If you've used tools for risk assessments or compliance tracking, mention those and be ready to discuss how they can streamline processes at MERJE.
