At a Glance
- Tasks: Support compliance processes and ensure regulatory standards are met in a fast-paced environment.
- Company: Join a tech-forward financial planning business that values innovation and compliance.
- Benefits: Competitive salary, LTIP scheme, and hybrid working options.
- Other info: Exciting opportunity to shape compliance culture in a dynamic business.
- Why this job: Be part of a growing team making a real impact in the financial sector.
- Qualifications: Experience in compliance within financial planning and knowledge of FCA regulations.
The predicted salary is between 65000 - 75000 £ per year.
A rare opportunity to join one of the UK's most innovative and technology-forward financial planning businesses in a newly created Compliance Manager role. Our client is a fast-growing financial planning business based in London, built around a genuine belief that compliance and technology can work hand in hand to deliver better outcomes for clients and for the business.
The role:
- Support the Head of Compliance in managing the day-to-day compliance processes across the business
- Ensure the firm's operations remain fully compliant with FCA rules and guidance including Consumer Duty and MiFID II
- Work closely with the wider compliance team and business stakeholders to embed a strong compliance culture
- Contribute to the development and improvement of compliance processes and systems - including the use of technology to drive efficiency
- Support with regulatory reporting, monitoring, and horizon scanning
What we are looking for:
- A compliance professional with solid experience in a financial planning or wealth management environment
- Good working knowledge of FCA regulations including Consumer Duty
- Level 4 DipFS qualified as a minimum
- An interest in technology and a willingness to embrace new ways of working
- Highly organised, detail-focused, and comfortable working in a fast-paced, growing business
- Someone who is excited by the prospect of being part of something different
What is on offer:
- Basic salary of £65,000 to £75,000 depending on experience
- LTIP Scheme
- Hybrid working
- The opportunity to join a forward-thinking business at an exciting point in its growth
Please apply and/or get in touch to find out more.
Compliance Manager employer: Nigel James Associates Ltd
Join a pioneering financial planning business in London that champions innovation and technology, offering a dynamic work environment where compliance and growth go hand in hand. With a competitive salary, LTIP scheme, and hybrid working options, this role not only provides a chance to contribute to a strong compliance culture but also fosters personal and professional development within a rapidly expanding team. Embrace the opportunity to be part of a forward-thinking organisation that values your expertise and encourages new ways of working.
Contact Details:
Nigel James Associates Ltd Recruitment Team
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Manager
✨Tip Number 1
Network like a pro! Reach out to people in the industry, attend events, and connect on LinkedIn. You never know who might have the inside scoop on job openings or can put in a good word for you.
✨Tip Number 2
Prepare for interviews by researching the company and its compliance culture. Show them you’re not just another candidate; you’re genuinely interested in how compliance and technology can work together in their business.
✨Tip Number 3
Practice your answers to common compliance interview questions. Think about your experience with FCA regulations and how you’ve contributed to compliance processes in previous roles. Confidence is key!
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets seen by the right people. Plus, we love seeing candidates who are proactive about their job search.
We think you need these skills to ace Compliance Manager
Some tips for your application 🫡
Tailor Your CV:Make sure your CV is tailored to the Compliance Manager role. Highlight your experience in financial planning and your knowledge of FCA regulations. We want to see how your skills align with 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 excited about this role and how you can contribute to our compliance culture. Keep it engaging and relevant to the job description.
Showcase Your Tech Savvy:Since we’re all about combining compliance with technology, don’t forget to mention any tech tools or systems you’ve used in your previous roles. We love candidates who are keen to embrace new ways of working!
Apply Through Our Website:We encourage you to apply directly through our website. It’s the best way for us to receive your application and ensures you’re considered for this exciting opportunity. Let’s get started on this journey together!
How to prepare for a job interview at Nigel James Associates Ltd
✨Know Your Regulations
Make sure you brush up on FCA regulations, especially Consumer Duty and MiFID II. Being able to discuss these in detail will show that you're not just familiar with compliance but also genuinely interested in how it impacts the business.
✨Showcase Your Tech Savvy
Since this role involves using technology to enhance compliance processes, be prepared to talk about any tech tools or systems you've used in previous roles. Highlighting your willingness to embrace new technologies can set you apart from other candidates.
✨Demonstrate Your Organisational Skills
In a fast-paced environment, being organised is key. Bring examples of how you've managed multiple compliance tasks or projects simultaneously. This will illustrate your ability to thrive under pressure and keep everything on track.
✨Emphasise Team Collaboration
This role requires working closely with various stakeholders. Be ready to share experiences where you've successfully collaborated with teams to embed a compliance culture. Showing that you can work well with others will resonate with the interviewers.
