At a Glance
- Tasks: Manage compliance processes and ensure adherence to FCA regulations in a tech-forward environment.
- Company: Join a fast-growing financial planning business that values innovation and compliance.
- Benefits: Competitive salary, LTIP scheme, and hybrid working options.
- Other info: Exciting growth opportunities in a supportive and innovative workplace.
- Why this job: Be part of a dynamic team shaping the future of compliance in finance.
- Qualifications: Experience in compliance within financial planning and knowledge of FCA regulations required.
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.
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 in London employer: Nigel James Associates Ltd
Join a pioneering financial planning business in London that champions the integration of compliance and technology, offering a dynamic work environment where innovation thrives. As a Compliance Manager, you will benefit from a competitive salary, an LTIP scheme, and hybrid working arrangements, all while contributing to a culture that prioritises regulatory excellence and employee growth. This is an exceptional opportunity to be part of a forward-thinking team at a pivotal moment in the company's expansion.
Contact Details:
Nigel James Associates Ltd Recruitment Team
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Manager in London
✨Tip Number 1
Network like a pro! Reach out to your connections in the financial planning and compliance sectors. Attend industry events or webinars to meet potential employers and get your name out there. Remember, it’s all about who you know!
✨Tip Number 2
Prepare for interviews by researching the company and its compliance culture. Think about how your experience aligns with their values and goals. We want you to show them that you’re not just a fit for the role, but for the team too!
✨Tip Number 3
Practice your responses to common compliance interview questions. Be ready to discuss FCA regulations and how you've applied them in past roles. We suggest using the STAR method (Situation, Task, Action, Result) to structure your answers.
✨Tip Number 4
Don’t forget to follow up after interviews! A quick thank-you email can go a long way in keeping you top of mind. And remember, apply through our website for the best chance at landing that Compliance Manager role!
We think you need these skills to ace Compliance Manager in London
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 embrace new ways of working!
Apply Through Our Website:We encourage you to apply through our website for a smoother application process. It helps us keep track of your application and ensures you don’t miss out on any updates from us!
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 values technology, be prepared to talk about any tools or systems you've used in previous roles. Highlight how you've embraced technology to improve compliance processes, as this aligns perfectly with the company's innovative approach.
✨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 help illustrate your ability to thrive under pressure and keep everything on track.
✨Emphasise Team Collaboration
The role involves working closely with various stakeholders. Be ready to share experiences where you've successfully collaborated with teams to foster a strong compliance culture. This will show that you can work well within their growing compliance team.
