Find a job 
Featured Companies 
Featured Universities 
For Companies At a Glance
- Tasks: Oversee compliance and training in a leading financial planning firm.
- Company: Join a respected financial planning client with a collaborative culture.
- Benefits: Enjoy a competitive salary, bonuses, hybrid working, and professional growth.
- Other info: Immediate interviews available; excellent staff retention and career development opportunities.
- Why this job: Make a real impact in compliance while working with a supportive team.
- Qualifications: Experience in financial advice and a minimum Diploma level 4 qualification required.
The predicted salary is between 55000 - 65000 £ per year.
Recruit Wealth are representing a leading Financial Planning client in Hertfordshire. The role oversees compliance, T&C and AML, working closely with the senior leadership team.
To support the SMF16 and SMF17 functions. Responsible for ensuring that the company operates within the guidelines of the Financial Conduct Authority by implementing and overseeing compliance policies and procedures. To coordinate the training & competence requirements of the advisory staff and organise training where required to ensure that the team are monitored and supported.
Compliance- Complying with the Financial Services and Markets Act 2000, the FCA’s Conduct Rules and Statements of Principle & Code of Practice and any relevant correspondence from the FCA at all times.
- Dealing with the regulator in an open and cooperative way when required and disclosing anything relating to the firm of which the FCA would reasonably expect notice.
- Ensuring appropriate ethical standards exist within the firm at all times.
- Keeping up to date with relevant regulatory, product, legislative, technical requirements.
- Ensuring appropriate systems and controls are in place covering all areas of the firm’s business activities and these are reviewed on a regular basis.
- Maintaining accurate, detailed and up to date compliance records across all areas of the firm’s business activities.
- Reporting to the firm’s Leadership team on a monthly basis on all relevant compliance issues.
- Reporting, on an ad-hoc basis to the management body where significant compliance risks are identified.
- Ensuring quality of advice is maintained & monitored via pre-sale checks of a selection of advice files and post-sale checks.
- Carrying out product due diligence when required.
- Review & sign-off financial promotions.
- Assess adviser conduct metrics against a pre-defined set of KPI's.
- Monitor adviser development plans.
- Carry out observed meetings/role plays.
- Assist with quarterly adviser T&C meetings.
- Monitor and adapt the company T&C scheme to changing regulatory requirements.
- Ensure all staff have and passed the relevant annual testing and carry out fit and proper assessments.
- Arrange training for regulatory changes.
- Assisting the SMF17 to make sure the firm’s financial crime and anti-money laundering procedures are kept up to date at all times and staff notified of any changes.
- Making sure all staff are aware of and appropriately trained on the firm’s anti-money laundering and financial crime procedures.
- Assisting the SMF17 to make sure the firm has adequate data security policies and procedures in place and that these are implemented properly.
- Experience of a working background in Financial Advice and/or Wealth Management.
- Minimum Diploma level 4 qualified, LIBF or CII etc.
- Good understanding of COBS & other relevant regulatory guidance.
- Highly organised.
- Computer literate.
- Polite and courteous.
- Energy, enthusiasm and drive.
- Good team player.
- Honest and ethical approach to business.
- Good people skills.
- Focused and driven to achieve goals.
This is a standout role for any individual who possesses an excellent Financial Services compliance background. Financial Planning/Wealth Management compliance experience is essential to be considered further.
The company has excellent staff retention; you’ll be adding great value to the business in this post, alongside being respected as a more senior member of the team.
An excellent salary, benefits, company bonus, hybrid working is all being offered, alongside working in an extremely collaborative and professional working culture.
The company is looking to interview immediately and we welcome applications as soon as possible. Please apply to us here at Recruit Wealth for an immediate response.
Location: Harpenden, Hertfordshire | Salary: £55000 - £65000 per year | Job type: Permanent | Posted: 19/11/2024
Compliance Manager employer: Recruit Wealth Limited
Contact Detail:
Recruit Wealth Limited Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Manager
✨Tip Number 1
Network like a pro! Reach out to your connections in the financial services sector and let them know you're on the hunt for a Compliance Manager role. You never know who might have the inside scoop on an opening or can put in a good word for you.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of the FCA’s Conduct Rules and the Financial Services and Markets Act. Show us that you’re not just familiar with compliance but that you live and breathe it. Bring real-life examples of how you've navigated compliance challenges in the past.
✨Tip Number 3
Don’t forget to showcase your training and competency skills! Be ready to discuss how you've developed training programmes or mentored staff in previous roles. This is key for a Compliance Manager, so let’s make sure you highlight those experiences.
✨Tip Number 4
Apply through our website for a quicker response! We want to see your application come through directly, so don’t hesitate. The sooner you apply, the sooner we can get you in front of the right people for this exciting opportunity.
We think you need these skills to ace Compliance Manager
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Compliance Manager role. Highlight your experience in Financial Advice and Wealth Management, and don’t forget to mention any relevant qualifications like your Diploma level 4. We want to see how you fit into our world!
Showcase Your Skills: In your application, emphasise your organisational skills and understanding of compliance regulations. Use examples from your past roles to demonstrate how you've successfully navigated compliance challenges. This will help us see your potential impact on our team.
Be Personable: We love a good team player! When writing your cover letter, let your personality shine through. Share why you're passionate about compliance and how you can contribute to our collaborative culture. We’re looking for someone who’s not just qualified but also a great fit for our team.
Apply Through Our Website: Don’t forget to apply through our website for the quickest response! It helps us keep track of applications and ensures you’re considered promptly. We can’t wait to hear from you!
How to prepare for a job interview at Recruit Wealth Limited
✨Know Your Compliance Stuff
Make sure you brush up on the Financial Services and Markets Act 2000, FCA’s Conduct Rules, and any recent regulatory changes. Being able to discuss these confidently will show that you're not just familiar with compliance but are genuinely passionate about it.
✨Showcase Your Training Skills
Since the role involves coordinating training for advisory staff, be prepared to share examples of how you've successfully implemented training programmes in the past. Highlight your experience in monitoring adviser development plans and how you’ve adapted training to meet regulatory requirements.
✨Demonstrate Ethical Standards
Ethics are crucial in compliance roles. Be ready to discuss how you've maintained ethical standards in previous positions. Share specific instances where you dealt with compliance issues while ensuring the integrity of the firm was upheld.
✨Engage with the Leadership Team
This role requires regular reporting to the leadership team. Prepare to talk about how you've effectively communicated compliance issues in the past and how you can contribute to a collaborative environment. Show that you’re a team player who values open communication.