At a Glance
- Tasks: Support compliance initiatives and ensure regulatory obligations are met in a dynamic investment platform.
- Company: Award-winning investment solutions platform focused on innovation and collaboration.
- Benefits: Competitive salary, inclusive culture, and opportunities for professional growth.
- Other info: Join a team that values integrity, customer focus, and continuous improvement.
- Why this job: Make a real impact by ensuring compliance and driving strategic change in a fast-paced environment.
- Qualifications: Strong knowledge of FCA regulations and excellent communication skills.
The predicted salary is between 55000 - 65000 £ per year.
About us: We are an award-winning investment solutions platform that helps ambitious financial advice firms to build their own investment propositions. We are entrepreneurial, innovative and value collaboration. We work continuously towards a culture of high performance, respect & inclusivity.
Role overview: Support the Senior Compliance Manager and CRCO in delivering an effective, risk-based Compliance Programme, ensuring regulatory obligations are met and the function operates as a robust second line of defence. Monitor and report on compliance and conduct outcomes, providing clear, actionable insight to the appropriate governance forums, management and employees to support informed decision-making. Provide pragmatic compliance advice to support strategic change, including new propositions, process enhancements and project delivery - ensuring initiatives are implemented in line with regulatory expectations. Identify, assess and articulate compliance risks clearly, working collaboratively with the business to develop, implement and track effective mitigation actions to resolution.
- Support the delivery of the Corporate Compliance Programme, ensuring the function operates as an independent, objective second line that effectively identifies, assesses and challenges compliance risks across the business.
- Provide proactive, pragmatic compliance advice to support both strategic initiatives and BAU activity—enabling the business to move at pace while remaining within regulatory expectations.
- Ensure adherence to regulatory obligations and internal standards, including:
- FCA rules and principles
- Internal policies and procedures
- The firm’s Standards of Conduct and expected behaviours
- Act as a trusted compliance partner to business functions, providing clear guidance on complex regulatory issues and projects, and escalating or deferring to senior colleagues where appropriate.
- Support the development, implementation and continuous enhancement of policies and procedures, ensuring they remain effective in preventing regulatory breaches, misconduct, and poor customer outcomes.
- Collaborate across Risk, Financial Crime, Change, Operations and other key functions to ensure compliance issues are efficiently routed, investigated, and resolved through appropriate governance channels.
- Identify, assess and respond to regulatory breaches and control failures, ensuring timely escalation, root cause analysis, and effective remediation.
- Monitor compliance activity and emerging trends across the business, using MI to provide insight, identify systemic risks, and inform forward-looking actions.
- Proactively identify areas of compliance vulnerability and risk, supporting the design and implementation of practical, sustainable remediation actions and preventative measures.
- Produce high-quality compliance reporting and MI to inform senior management and governance forums, enabling effective oversight and decision-making.
- Support the design and delivery of an effective compliance training programme.
- Maintain awareness of regulatory developments and translate these into clear, actionable guidance for both the Compliance team and the wider business.
- Undertake regulatory reporting obligations accurately and on time, ensuring the firm meets its external reporting requirements.
Requirements for the role:
- Pragmatic Judgement: Applies regulation in a commercially sensible, outcome-focused way
- Regulatory Credibility: Strong working knowledge of FCA requirements and ability to translate into practical guidance
- Clear Thinking: Simplifies complex issues into clear risks, actions and decisions
- Constructive Challenge: Acts independently while providing balanced, evidence-based challenge
- Influence & Partnership: Builds trusted relationships and works effectively with stakeholders across the business
- Customer Focus: Embeds Consumer Duty and prioritises good client outcomes
- Risk & Control Mindset: Identifies risks, assesses control effectiveness, and drives remediation
- Proactive & Accountable: Anticipates issues, takes ownership, and follows through
- Effective Communicator: Delivers clear, concise advice and reporting tailored to the audience
- Continuous Improvement: Curious and forward-looking, driving enhancements in frameworks and practices
The FCA have conduct rules that firms and individuals must follow to ensure that they act with integrity and treat customers fairly. In your role, you will champion these rules:
- You must act with integrity
- You must act with due skill, care and diligence
- You must be open and cooperative with the FCA, the PRA and other regulators.
- You must pay due regard to the interests of customers and treat them fairly.
- You must observe proper standards of market conduct
- You must act to deliver good outcomes for retail customers
And will inspire all to live by these values:
- Getting the job done
- You being you
- Making tomorrow better than today
Compliance Manager in Bristol employer: Parmenion
As an award-winning investment solutions platform, we pride ourselves on fostering a culture of collaboration, innovation, and high performance. Our commitment to inclusivity and employee growth is evident through our comprehensive training programmes and proactive support for career development. Located in a vibrant area, we offer a dynamic work environment where compliance professionals can thrive while making a meaningful impact in the financial sector.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Manager in Bristol
✨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 Parmenion looking for candidates who are engaged and informed.
We think you need these skills to ace Compliance Manager in Bristol
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 Parmenion. 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 Parmenion
✨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 Parmenion’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
