At a Glance
- Tasks: Provide compliance advice and support for the Wealth Advisory team in a dynamic environment.
- Company: Join Rathbones, a leading financial services firm with a commitment to integrity and collaboration.
- Benefits: Enjoy a competitive salary, flexible holidays, private medical insurance, and study support.
- Other info: Hybrid working model with opportunities for professional growth and community involvement.
- Why this job: Make a real impact in financial services while developing your career in compliance.
- Qualifications: Strong understanding of financial regulations and excellent communication skills required.
The predicted salary is between 55000 - 65000 £ per year.
Sitting within the 2LOD Compliance Advice Wealth Advisory team, the primary purpose of this position is to support the Compliance Advice Wealth Advisory team with the provision of regulatory and compliance advice to the RIM Investment Management business.
Responsibilities
- Responsible for providing day to day Compliance Advice to the RIM business.
- Supports the Wealth Advisory team with the provision of accurate and timely Compliance advice, identifying and investigating regulatory breaches and non-compliance with Group standards and supporting their resolution.
- Supports with the review and challenge of business proposals and projects relating to Investment Management including assisting with the Investment Process and Product Governance arrangements.
- Responsible for assisting the Compliance Senior Manager with ensuring advice provided to RIM is documented accurately in monthly reports.
- Supports the Compliance Senior Manager with ensuring business processes and controls are fit for purpose providing pro‑active advice where needed to ensure good client outcomes.
- Takes a proactive, hands‑on approach when responding to queries and making recommendations and looks for improvements in client facing oversight and governance processes.
- To be Compliance lead on any relevant ad‑hoc project work, including the implementation of new regulatory policies and/or regulatory change as required.
- Responsible for ensuring potential individual and corporate conduct breaches are escalated to the Senior Compliance Manager and remediation of the breach is carried through including providing guidance with procedures, training and escalation.
About you
- Good understanding of financial services and the regulations applicable to RIM.
- Strong team player with good interpersonal and excellent communication skills – both written (report writing) and verbal.
- The ability to engage in open dialogue and provide pragmatic solutions.
- Comfortable taking initiative and working across multiple business lines/jurisdictions.
- Ability to identify issues and take a risk‑based approach towards escalations to Compliance Senior Manager.
- Able to work effectively within a team or autonomously as required.
- Able to provide supervision or matrix management of others for specific tasks where required.
- Able to engage with the business in a credible and collaborative fashion along with the promotion of trust and integrity.
- Significant hands‑on experience of working in a financial services business.
- CISI Diploma in Investment Compliance desirable.
Our offer to you
- A company pension – 9% non‑contributory or 10% if you contribute 5%
- Private medical insurance – Individual on joining, family after 1 year’s service
- Life assurance – 8 × salary
- Income protection – 75% salary
- Company share scheme
- Discretionary bonus
- Flexible holidays – purchase up to 5 additional days
- Green Car Scheme
- Family friendly policies – enhanced family leave for parents & carers
- Study support – study days and funding for courses and qualifications
- Season travel ticket loans
- Volunteering days
- Gym discounts
We are a Disability Confident Employer (level 2) under the UK Government scheme. If you require adjustments to apply for a role at Rathbones, please contact recruit@rathbones.com to let us know what adjustments you may need.
Compliance Manager, Wealth Advisory in Liverpool employer: Rathbones Group Plc
Rathbones is an exceptional employer, offering a dynamic work environment in the heart of Liverpool, London, and Birmingham. With a strong commitment to employee growth, we provide comprehensive benefits including a generous pension scheme, private medical insurance, and flexible holiday options, all while fostering a culture of collaboration and integrity. Join us to be part of a team that values your contributions and supports your professional development in the ever-evolving financial services sector.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Manager, Wealth Advisory in Liverpool
✨Tip Number 1
Network like a pro! Reach out to your connections in the financial services sector, especially those who know about compliance roles. A friendly chat can lead to insider info on job openings or even a referral.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of regulations and compliance practices. We recommend practising common interview questions and scenarios related to compliance management to show you're ready to tackle the role head-on.
✨Tip Number 3
Showcase your problem-solving skills! During interviews, share examples of how you've identified issues and provided solutions in past roles. This will demonstrate your proactive approach and ability to handle compliance challenges.
✨Tip Number 4
Don't forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we love seeing candidates who are genuinely interested in joining our team.
We think you need these skills to ace Compliance Manager, Wealth Advisory in Liverpool
Some tips for your application 🫡
Tailor Your Application:Make sure to customise your CV and cover letter to highlight your experience in compliance and financial services. We want to see how your skills align with the specific requirements of the Compliance Manager role.
Showcase Your Communication Skills:Since strong communication is key for this position, include examples of your written and verbal communication abilities. We love seeing how you’ve effectively engaged with teams or clients in the past!
Highlight Your Proactive Approach:Demonstrate your ability to take initiative and provide solutions. Share instances where you've identified issues and implemented changes, as this shows us you're ready to tackle challenges head-on.
Apply Through Our Website:We encourage you to submit your application through our website. It’s the best way for us to receive your details and ensures you’re considered for the role. Plus, it’s super easy!
How to prepare for a job interview at Rathbones Group Plc
✨Know Your Regulations
Make sure you brush up on the financial regulations relevant to the RIM Investment Management business. Being able to discuss specific regulations and how they apply to the role will show that you're not just familiar with compliance but also genuinely interested in the field.
✨Showcase Your Communication Skills
Since this role requires excellent communication skills, prepare to demonstrate your ability to convey complex compliance issues clearly. Think of examples where you've successfully communicated regulatory advice or resolved compliance queries, as this will highlight your interpersonal skills.
✨Be Proactive in Problem-Solving
The job involves identifying and resolving compliance breaches, so come prepared with examples of how you've taken initiative in past roles. Discuss any proactive measures you've implemented to improve compliance processes or client outcomes, as this will resonate well with the interviewers.
✨Engage with Real Scenarios
Prepare for situational questions by thinking through real-life compliance scenarios you've faced. Be ready to explain how you approached these situations, what actions you took, and the outcomes. This will demonstrate your hands-on experience and ability to handle challenges effectively.
