At a Glance
- Tasks: Manage compliance processes and support regulatory standards in a fast-paced financial planning business.
- Company: Innovative financial planning firm embracing technology for better client outcomes.
- Benefits: Competitive salary, hybrid working, and opportunities for professional growth.
- Other info: Exciting growth phase with a collaborative and dynamic work environment.
- Why this job: Join a forward-thinking team and make a real impact on compliance culture.
- Qualifications: Experience in compliance within financial planning or wealth management.
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.
Manager Regulatory Compliance employer: Nigel James Associates Ltd
Join a pioneering financial planning business in London that champions the integration of compliance and technology, offering a competitive salary of £65,000 to £75,000 along with a Long-Term Incentive Plan (LTIP). With a strong emphasis on employee growth and a collaborative work culture, this role provides a unique opportunity to shape compliance processes while enjoying the flexibility of hybrid working. Be part of a dynamic team dedicated to achieving excellence in regulatory standards and driving the company's ambitious growth plans.
Contact Details:
Nigel James Associates Ltd Recruitment Team
StudySmarter Expert Advice🤫
We think this is how you could land Manager Regulatory 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 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 past experiences and how they relate to the role. We want you to showcase your skills and how you can contribute to their ambitious growth plans!
✨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.
We think you need these skills to ace Manager Regulatory 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. Keep it concise but impactful!
Showcase Your Tech Savvy:Since we’re all about combining compliance with technology, make sure to mention any relevant tech tools or systems you’ve used in your previous roles. We love seeing candidates who are comfortable with tech!
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 compliance, but that you’re genuinely passionate about it.
✨Showcase Your Organisational Skills
As a Compliance Manager, being organised is key. Prepare examples from your past experience where your attention to detail and organisational skills made a difference. This could be in managing compliance processes or improving systems – make it relatable to the role you're applying for.
✨Emphasise Team Collaboration
This role involves working closely with various stakeholders. Be ready to share instances where you've successfully collaborated with teams to embed a compliance culture. Highlighting your ability to work well with others will demonstrate that you can contribute positively to their growing compliance team.
✨Be Tech-Savvy
Since the company values technology in compliance, come prepared to discuss any tools or systems you've used in previous roles. If you have experience with compliance software or data analysis tools, mention how these helped improve efficiency in your past positions.
