At a Glance
- Tasks: Support compliance processes and foster a strong compliance culture in a fast-growing financial firm.
- Company: Join an innovative financial planning business that values compliance and technology.
- Benefits: Competitive salary, hybrid working, and opportunities for professional growth.
- Other info: Exciting growth phase with a focus on technology-driven compliance solutions.
- Why this job: Be part of a dynamic team shaping the future of compliance in finance.
- Qualifications: Experience in compliance within financial planning or wealth management is essential.
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.
They are hiring a Compliance Manager to join their growing compliance team alongside a new Head of Compliance, working together to ensure the business operates to the highest regulatory standards, whilst also supporting the firm's ambitious growth plans.
- Support the Head of Compliance in managing the day-to-day compliance processes across the business
- 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
A compliance professional with solid experience in a financial planning or wealth management environment. Highly organised, detail-focused, and comfortable working in a fast-paced, growing business.
Basic salary of £65,000 to £75,000 depending on experience. Hybrid working. The opportunity to join a forward-thinking business at an exciting point in its growth.
Director, Regulatory Affairs & Quality employer: Nigel James Associates Ltd
Join a pioneering financial planning business in London that champions innovation and technology, offering a dynamic work culture where compliance and growth go hand in hand. With a competitive salary and hybrid working options, employees benefit from a supportive environment that fosters professional development and encourages contributions to enhance compliance processes. This is an exceptional opportunity for those looking to make a meaningful impact in a rapidly evolving industry.
Contact Details:
Nigel James Associates Ltd Recruitment Team
StudySmarter Expert Advice🤫
We think this is how you could land Director, Regulatory Affairs & Quality
✨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; demonstrate your passion for compliance and how you can contribute to their growth.
✨Tip Number 3
Practice your responses to common interview questions, especially those related to regulatory standards and compliance processes. We want you to feel confident and ready to impress!
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we love seeing candidates who are proactive about their job search.
We think you need these skills to ace Director, Regulatory Affairs & Quality
Some tips for your application 🫡
Tailor Your CV:Make sure your CV is tailored to the Compliance Manager role. Highlight your experience in regulatory affairs and quality, especially in financial planning or wealth management. We want to see how your skills align with our innovative approach!
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. Be genuine and let your personality come through – we love that!
Showcase Your Organisational Skills:As a Compliance Manager, being organised is key. In your application, give examples of how you've managed compliance processes in the past. We want to know how you keep things running smoothly in a fast-paced environment!
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 don’t miss out on any important updates. Plus, it shows you’re keen to join our team!
How to prepare for a job interview at Nigel James Associates Ltd
✨Know Your Compliance Stuff
Make sure you brush up on the latest regulatory standards and compliance processes relevant to the financial planning sector. Being able to discuss specific regulations and how they impact the business will show that you're not just familiar with the basics, but that you’re genuinely invested in the role.
✨Showcase Your Organisational Skills
As a Compliance Manager, being highly organised is key. Prepare examples of how you've successfully managed compliance processes in the past. Use the STAR method (Situation, Task, Action, Result) to structure your responses and highlight your attention to detail.
✨Emphasise Team Collaboration
This role involves working closely with various stakeholders. Be ready to discuss how you've fostered a strong compliance culture in previous roles. Share specific instances where you collaborated with teams to improve compliance processes or systems, especially using technology.
✨Prepare for Regulatory Reporting Questions
Expect questions around regulatory reporting and monitoring. Brush up on your knowledge of these areas and think about how you can contribute to the firm's growth plans through effective compliance strategies. Showing that you can align compliance with business objectives will set you apart.
