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- Tasks: Ensure regulatory compliance and oversee financial crime controls for IFA firms.
- Company: Leading national wealth management business in the UK.
- Benefits: Competitive day rate, flexible hybrid working, and autonomy in your role.
- Why this job: Make a real impact in compliance while working with a dynamic team.
- Qualifications: 5+ years of compliance experience in the IFA/wealth sector required.
- Other info: Short-term contract with potential for future opportunities.
The predicted salary is between 110000 - 150000 £ per year.
A Compliance Manager is required for a leading national wealth management business in the UK. The role is based in Scotland with flexible working and the successful candidate will be responsible for regulatory compliance for a small number of IFA firms and with a high level of autonomy. This is a technical role suitable for candidates with at least 5 years of compliance experience within the IFA/wealth sector.
The successful candidate will ensure suitable compliance policies and procedures are in place, oversee the implementation of financial crime controls, and ensure that the firms' activities are appropriately monitored. The role holder will be the contact point for FCA and will be responsible for the delivery of compliance training to staff.
Required knowledge and experience for the Compliance Manager role:
- At least 5 years’ experience of compliance within the IFA/wealth sector
- Previously held CF10/11 or SMF16/17 (preferable)
- Detailed knowledge of FCA requirements relating to Investment Advisers
- Regulatory/Compliance qualifications e.g. ICA (preferable)
- Adviser qualifications (preferable)
The ideal candidate will be immediately available and prepared to take on a short term contract for a maximum of 5 months. My client is open to recruiting someone on a day rate or a fixed term contract.
Applicants must be located and eligible to work in the UK without sponsorship.
Please note, should feedback not be received within 28 days, unfortunately your application has been unsuccessful. In applying for this role, you may be registered on our database so we can contact you about suitable opportunities in future. Your data will be managed in accordance with our Privacy Policy, which can be found on our website.
If you would like this job advertisement in an alternative format, please contact MERJE directly.
Compliance Manager in Scotland employer: MERJE
Contact Detail:
MERJE Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Manager in Scotland
✨Tip Number 1
Network like a pro! Reach out to your connections in the IFA/wealth sector and let them know you're on the lookout for a Compliance Manager role. You never know who might have the inside scoop on opportunities that aren't advertised.
✨Tip Number 2
Prepare for interviews by brushing up on FCA regulations and compliance policies. Show us you know your stuff and can handle the technical aspects of the role with confidence. Practice common interview questions related to compliance to nail that first impression!
✨Tip Number 3
Don’t just apply anywhere; focus on companies that align with your values and expertise. Use our website to find roles that suit your skills and experience, and tailor your approach to each one. Quality over quantity, folks!
✨Tip Number 4
Follow up after interviews! A quick thank-you email can go a long way in keeping you top of mind. It shows your enthusiasm for the role and gives you another chance to highlight why you're the perfect fit for their compliance needs.
We think you need these skills to ace Compliance Manager in Scotland
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Compliance Manager role. Highlight your 5+ years of experience in the IFA/wealth sector and any relevant qualifications like CF10/11 or SMF16/17. We want to see how your skills match what we're looking for!
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 experience with FCA requirements and how you've implemented compliance policies in the past. We love a good story!
Showcase Your Technical Skills: Since this is a technical role, make sure to showcase your knowledge of financial crime controls and compliance training. We want to know how you can bring your expertise to our team and help us maintain high standards.
Apply Through Our Website: Don't forget to apply through our website! It’s the best way for us to keep track of your application and get back to you. Plus, it shows you're serious about joining our team at StudySmarter!
How to prepare for a job interview at MERJE
✨Know Your Compliance Stuff
Make sure you brush up on your knowledge of FCA requirements and compliance policies specific to the IFA/wealth sector. Being able to discuss these in detail will show that you're not just familiar with the basics, but that you truly understand the nuances of the role.
✨Showcase Your Experience
With at least 5 years of compliance experience required, be ready to share specific examples from your past roles. Highlight situations where you've successfully implemented compliance policies or managed financial crime controls, as this will demonstrate your capability and confidence.
✨Prepare for Technical Questions
Expect technical questions related to compliance frameworks and regulatory standards. Practise articulating your thought process and decision-making in these scenarios, as it will help you convey your expertise effectively during the interview.
✨Engage with the Interviewers
Don’t forget that interviews are a two-way street! Prepare thoughtful questions about the company’s compliance culture and how they handle training for staff. This shows your genuine interest in the role and helps you assess if it's the right fit for you.
