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 hands-on experience and career advancement.
- Why this job: Make a real impact by ensuring compliance and supporting client outcomes in investment management.
- 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.
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 in Liverpool 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 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 real-world challenges.
✨Tip Number 3
Don’t just wait for job alerts! Actively search for roles on our website and apply directly. This shows initiative and can help you stand out from the crowd. Plus, we love seeing proactive candidates!
✨Tip Number 4
Follow up after interviews with a thank-you email. It’s a simple gesture that keeps you fresh in the interviewer’s mind and shows your enthusiasm for the role. We believe it can make a big difference!
We think you need these skills to ace Compliance Manager, Wealth Advisory in Liverpool
Some tips for your application 🫡
Tailor Your CV:Make sure your CV speaks directly to the Compliance Manager role. Highlight your experience in financial services and any relevant regulatory knowledge. We want to see how your skills align with what we're looking for!
Craft a Compelling Cover Letter:Your cover letter is your chance to shine! Use it to explain why you're excited about the role and how you can contribute to our Wealth Advisory team. Keep it concise but impactful – we love a good story!
Showcase Your Communication Skills:Since strong communication is key for this role, make sure your application reflects that. Use clear, professional language and structure your documents well. We appreciate clarity and precision in both writing and reporting!
Apply Through Our Website:We encourage you to apply through our website for a smoother process. It helps us keep track of your application and ensures you get all the updates. Plus, it’s super easy – just a few clicks and you’re done!
How to prepare for a job interview at Rathbones
✨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 that you can actively contribute to the team.
✨Showcase Your Communication Skills
Since this role requires excellent communication skills, prepare examples of how you've effectively communicated complex compliance issues in the past. Think about times when your clear reporting or verbal explanations helped resolve a regulatory issue or improved a process.
✨Demonstrate Proactivity
Be ready to discuss instances where you've taken the initiative to identify and resolve compliance issues. Highlight any proactive measures you've implemented in previous roles that led to better client outcomes or improved governance processes.
✨Engage with Real Scenarios
Prepare for situational questions by thinking through real-life scenarios where you had to provide compliance advice or handle a regulatory breach. This will help you illustrate your problem-solving skills and your ability to work collaboratively across different business lines.
