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 technology and compliance.
- Benefits: Competitive salary, hybrid working, and opportunities for professional growth.
- Other info: Exciting opportunity to contribute to a rapidly growing business.
- Why this job: Be part of a dynamic team shaping compliance in a tech-forward environment.
- 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 & Quality Compliance 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 and hybrid working options, employees benefit from a strong culture of collaboration, continuous improvement, and ample opportunities for professional development, making it an ideal place for those seeking meaningful and rewarding careers.
Contact Details:
Nigel James Associates Ltd Recruitment Team
StudySmarter Expert Advice🤫
We think this is how you could land Director, Regulatory & Quality Compliance
✨Tip Number 1
Network like a pro! Reach out to people in the financial planning and compliance sectors. Attend industry events or webinars, and don’t be shy about introducing yourself. You never know who might have the inside scoop on job openings!
✨Tip Number 2
Prepare for interviews by researching the company’s compliance culture and recent regulatory changes. Show them you’re not just a candidate, but someone who’s genuinely interested in their mission and how you can contribute to their growth.
✨Tip Number 3
Practice your responses to common compliance interview questions. Think about your past experiences and how they relate to the role. We want you to showcase your skills and how you can help drive efficiency in their compliance processes.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we’re always looking for passionate individuals who can help us build a strong compliance culture together.
We think you need these skills to ace Director, Regulatory & Quality Compliance
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 or wealth management, and don’t forget to showcase your organisational skills and attention to detail!
Craft a Compelling Cover Letter:Your cover letter is your chance to shine! Use it to explain why you’re passionate about compliance and how you can contribute to our innovative approach at StudySmarter. Keep it concise but impactful!
Showcase Your Tech Savvy:Since we believe in the power of technology, mention any relevant tech tools or systems you’ve used in compliance processes. This will show us that you’re ready to drive efficiency in our growing business.
Apply Through Our Website:We encourage you to apply through our website for a smoother application process. It’s the best way for us to receive your application and get to know you better!
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 answers and demonstrate your ability to thrive in a fast-paced environment.
✨Emphasise Team Collaboration
This role involves working closely with various stakeholders. Be ready to share experiences where you’ve collaborated with teams to embed a compliance culture. Highlight your communication skills and how you’ve built relationships to drive compliance initiatives forward.
✨Tech-Savvy Approach
Since the company values technology in compliance, be prepared to discuss any tools or systems you've used to enhance compliance processes. If you have experience with tech-driven solutions, make sure to mention them and how they improved efficiency in your previous roles.
