At a Glance
- Tasks: Lead compliance oversight and training competence for a growing financial planning firm.
- Company: Dynamic wealth management business with a focus on compliance and client outcomes.
- Benefits: Competitive salary, hybrid working, and senior leadership exposure.
- Other info: Opportunity for genuine ownership of compliance activities and career growth.
- Why this job: Make a real impact on compliance culture and regulatory framework in a thriving environment.
- Qualifications: Senior compliance experience in Wealth Management and strong knowledge of FCA regulations.
The predicted salary is between 65000 - 70000 £ per year.
Are you an experienced compliance professional with strong SMCR, Training Competence and Wealth Management experience? We are recruiting on behalf of a growing financial planning firm seeking a Head of Compliance Lead T C Supervisor to take ownership of the firm's compliance framework and Training Competence programme. This is a senior leadership position working directly with the executive team and supporting the firm's SMF16 and SMF17 functions, ensuring the business continues to meet its regulatory obligations whilst maintaining the highest standards of client outcomes, governance and adviser competence.
The Role
This position combines responsibility for the firm's compliance oversight framework with leadership of its Training Competence scheme. You will act as the central compliance figure within the business, providing regulatory guidance, overseeing compliance monitoring activity, managing regulatory risk and ensuring advisers remain competent, supervised and compliant under FCA requirements.
Key Responsibilities
- Lead and oversee the firm's compliance function
- Support the firm's SMF16 (Compliance Oversight) and SMF17 (Money Laundering Reporting) responsibilities
- Maintain and enhance the firm's compliance monitoring framework
- Ensure ongoing compliance with FCA regulations, Consumer Duty and SMCR requirements
- Manage regulatory reporting, governance and risk management processes
- Oversee client file review activity and ensure regulatory standards are maintained
- Review regulatory developments and implement required changes across the business
- Produce compliance MI, board reports and annual compliance reporting
- Support regulatory interactions and FCA communications
- Manage relationships with external compliance providers and stakeholders
- Assist with regulatory due diligence relating to acquisitions and strategic projects
Training Competence
- Lead and maintain the firm's Training Competence Scheme
- Work closely with SMF3 Supervisors to ensure adviser competence is appropriately monitored
- Conduct adviser oversight, competency assessments and supervision activities
- Oversee annual Fit Proper assessments and certification processes
- Monitor SPS, CPD and ongoing competency requirements
- Deliver and coordinate regulatory training across the business
- Ensure robust T C records, monitoring and management information are maintained
- Support the onboarding, supervision and development of new advisers
About You
To be considered you will ideally have:
- Experience within a senior compliance position in a Wealth Management or Financial Planning business
- Strong knowledge of FCA regulation, Consumer Duty and SMCR
- Demonstrable Training Competence experience
- Experience conducting adviser supervision, competency assessments and file reviews
- Knowledge of financial promotions, AML, governance and regulatory reporting
- Level 4 Diploma qualification as a minimum
- Supervisory qualification desirable
- Strong communication skills with the ability to influence senior stakeholders
What's On Offer
- £65,000 - £70,000 salary
- Hybrid working (3 days office / 2 days home)
- Senior leadership exposure
- Opportunity to influence the firm's compliance culture and regulatory framework
- Genuine ownership of Compliance and T C activities
- Growing and ambitious wealth management business
For a confidential discussion regarding this opportunity, please apply today.
Compliance Manager employer: Ortus Psr
Join a dynamic and ambitious wealth management firm in Birmingham, where you will play a pivotal role as the Head of Compliance Lead T C Supervisor. With a strong focus on employee growth and a hybrid working model, we offer a supportive work culture that values compliance excellence and regulatory integrity. Enjoy competitive remuneration, senior leadership exposure, and the opportunity to shape the firm's compliance framework while working alongside an executive team committed to maintaining the highest standards in client outcomes.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Manager
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like Ortus Psr looking for candidates who are engaged and informed.
We think you need these skills to ace Compliance Manager
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at Ortus Psr. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at Ortus Psr
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with Ortus Psr’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
