At a Glance
- Tasks: Provide compliance advice and support to the Wealth Advisory team in a dynamic environment.
- Company: Join a leading financial services firm with a strong commitment to compliance and integrity.
- Benefits: Enjoy a competitive salary, hybrid working, and opportunities for professional growth.
- Other info: Collaborative culture with opportunities for career advancement and personal development.
- Why this job: Make a real impact by ensuring compliance and supporting innovative investment management projects.
- Qualifications: Strong understanding of financial regulations and excellent communication skills are essential.
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.
What you’ll be responsible for:
- 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.
Compliance Manager, Wealth Advisory employer: Rathbones
As a Compliance Manager in our Wealth Advisory team, you will thrive in a dynamic and supportive environment that prioritises employee growth and development. Our hybrid working model allows for flexibility while fostering a collaborative culture where your contributions are valued and recognised. With a strong commitment to compliance excellence and a focus on delivering outstanding client outcomes, we offer a rewarding career path in the heart of Liverpool, London, or Birmingham, where you can make a meaningful impact in the financial services sector.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Manager, Wealth Advisory
✨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 Rathbones looking for candidates who are engaged and informed.
We think you need these skills to ace Compliance Manager, Wealth Advisory
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 Rathbones. 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 Rathbones
✨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 Rathbones’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
