At a Glance
- Tasks: Lead compliance due diligence and manage regulatory reporting for acquisitions.
- Company: Join a dynamic national IFA & wealth management group with growth opportunities.
- Benefits: Hybrid work, competitive salary, bonus, and tailored professional development.
- Other info: Enjoy a supportive team environment with excellent career progression.
- Why this job: Gain hands-on M&A experience and autonomy in a diverse compliance role.
- Qualifications: Experience in compliance or risk within FCA-regulated financial services.
The predicted salary is between 55000 - 55000 £ per year.
Hybrid, 3 days in the office and 2 days from home, Salary up to £55,000 + bonus & benefits.
A well-established, acquisitive national IFA & wealth management group.
Most compliance roles are a monitoring checklist. This one isn't. You’ll join the risk function of one of the UK's larger independent advice and wealth management groups – a business that’s actively acquiring, integrating, and growing. That means real variety: firm acquisitions, variations of permission, authorisations and de‑authorisations, and multi‑entity reporting to the FCA as the group scales. If you want compliance work with breadth and group‑wide visibility rather than the same monthly cycle at a single, static firm, read on.
What you’ll do:
- Lead compliance due diligence on acquisition firms, and own the authorisations, de‑authorisations and variation‑of‑permissions process across acquisitions, appointed representatives and trading styles.
- Co‑ordinate regulatory reporting for all group firms – RegData submissions, fees and professional standards returns, and FCA thematic or ad‑hoc requests.
- Review and sign off financial promotions and client‑facing templates in line with FCA rules.
- Ensure adequate Professional Indemnity and Directors’ & Officers’ cover across the group, and manage renewal of FCA permissions and ICO registrations.
- Act as the escalation point for regulatory queries, provide breach‑action sign‑off, and help deliver regulatory policy and project change.
Why it’s a strong move:
- Breadth you won’t get at a standstill firm – acquisitions, permissions, reporting and promotions in one remit.
- Hands‑on M&A exposure that’s genuinely hard to find elsewhere.
- A self‑driven role with the autonomy to own your work, backed by an experienced senior risk team.
What we’re looking for:
- Experience in a compliance or risk function within an FCA‑regulated advice, wealth or financial services firm.
- Sound knowledge of FCA regulation across retail investment and wealth advice.
- Familiarity with RegData reporting and the variation‑of‑permissions process – or the appetite to develop it quickly.
- A confident communicator who can work independently and to deadline.
What’s on offer:
- Hybrid working, a competitive holiday allowance with buy/sell scheme, your birthday off and extra days for long service.
- Discretionary annual bonus, contributory pension and death‑in‑service cover.
- Health & wellbeing cash plan with cashback on everyday healthcare and discounted gym membership.
- Tailored professional development to help you progress.
Compliance Management Executive in Redditch employer: Ortus Psr
Join a dynamic and rapidly growing national IFA and wealth management group that offers a unique compliance role with real variety and breadth. With a hybrid working model, competitive salary, and a strong focus on employee development, this company fosters a supportive work culture where you can thrive and make a meaningful impact. Enjoy benefits like a discretionary bonus, generous holiday allowance, and tailored professional growth opportunities in a collaborative environment.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Management Executive in Redditch
✨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 Management Executive in Redditch
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!
