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- Tasks: Lead compliance training and oversight, ensuring regulatory standards and positive client outcomes.
- Company: Join St. James's Place, a diverse employer committed to the LGBTQ+ community.
- Benefits: Enjoy a supportive work culture with opportunities for professional growth and development.
- Why this job: Make a real impact on compliance culture while promoting diversity and inclusion.
- Qualifications: Experience in compliance leadership within financial services is essential; strong communication skills required.
- Other info: This role offers visibility and influence in shaping compliance strategies across the organisation.
The predicted salary is between 43200 - 72000 £ per year.
Job Description
This job is with St. James's Place, an inclusive employer and a member of myGwork – the largest global platform for the LGBTQ+ business community. Please do not contact the recruiter directly.
About the Role
We're looking for a skilled and confidentCompliance and Supervision Manager to lead the design, implementation and oversight of a robust training, competence, and compliance program across the Perennial Group and associated businesses. Acting as a senior compliance lead, you will play a pivotal role in embedding systems, policies and controls that support strong regulatory standards and consistently positive client outcomes. This is a highly visible role where your expertise will directly influence our compliance culture, risk mitigation, and operational efficiency.
What You'll Be Doing
- Lead the development and maintenance of the Training & Competence (T&C) Scheme and compliance oversight framework.
- Monitor and manage annual competency and Fitness & Propriety requirements under SM&CR.
- Ensure timely updates to FCA registers and manage onboarding of approved/certified individuals.
- Carry out risk assessments, oversee compliance assurance visits and perform trend analysis.
- Drive delivery of training needs analysis and implement related training programs.
- Lead Partner Acquisition Due Diligence exercises and regulatory assessments for new firms.
- Prepare and deliver meaningful Management Information (MI) and board-level risk dashboards.
- Advise senior leaders on legal and regulatory changes and oversee timely implementation.
- Ensure policies reflect regulatory expectations and are stress-tested for operational effectiveness.
- Act as a lead liaison for regulatory engagement and reporting, including FCA submissions.
- Champion cultural and ethical standards, promoting diversity, inclusion, and client fairness across the Group.
- Line manage and support compliance teams across Perennial and its associated firms.
Who We're Looking For
We're looking for a strategic and proactive compliance professional with strong leadership skills and experience in regulatory oversight, ideally within the financial advice or wealth management sectors. You'll have a natural ability to build relationships with internal and external stakeholders and the confidence to provide senior-level advice and guidance. A strong grasp of SM&CR, T&C schemes, and client-centric outcomes is essential to your success in this role.
Essential Skills & Experience
- Proven experience in a compliance leadership role within financial services.
- Proven experience managing SM&CR requirements and T&C frameworks.
- Ability to influence, lead teams, and deliver effective regulatory change.
- Excellent written and verbal communication skills with strong MI and report presentation capabilities.
Desirable Skills
- Diploma in Financial Planning (or working towards it).
- In-depth knowledge of compliance in Partner/AR supervision environments.
Compliance and Supervision Manager employer: St. James’s Place
Contact Detail:
St. James’s Place Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance and Supervision Manager
✨Tip Number 1
Familiarise yourself with the latest regulations and compliance frameworks relevant to the financial services sector, particularly SM&CR and T&C schemes. This knowledge will not only help you in interviews but also demonstrate your commitment to staying updated in a rapidly changing environment.
✨Tip Number 2
Network with professionals in the compliance and supervision field, especially those who have experience in financial advice or wealth management. Engaging with industry peers can provide valuable insights and potentially lead to referrals or recommendations for the role.
✨Tip Number 3
Prepare to discuss specific examples of how you've successfully implemented compliance programmes or led teams in previous roles. Highlighting your leadership skills and ability to drive regulatory change will set you apart from other candidates.
✨Tip Number 4
Showcase your understanding of the importance of diversity and inclusion within compliance culture. Be ready to discuss how you would promote these values in the workplace, as they are key aspects of the role at St. James's Place.
We think you need these skills to ace Compliance and Supervision Manager
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your experience in compliance leadership, particularly within financial services. Emphasise your familiarity with SM&CR and T&C frameworks, as these are crucial for the role.
Craft a Compelling Cover Letter: In your cover letter, demonstrate your strategic thinking and proactive approach to compliance. Use specific examples from your past roles to illustrate how you've successfully influenced regulatory change and built relationships with stakeholders.
Showcase Communication Skills: Since excellent written and verbal communication skills are essential, ensure that your application is free of errors and clearly articulates your qualifications. Consider including a brief section on your experience with MI and report presentation.
Highlight Leadership Experience: As this role involves managing compliance teams, be sure to highlight any relevant leadership experience. Discuss how you've supported and developed teams in previous positions, focusing on your ability to drive cultural and ethical standards.
How to prepare for a job interview at St. James’s Place
✨Understand the Regulatory Landscape
Familiarise yourself with the latest regulations and compliance standards relevant to the financial services sector, particularly SM&CR and T&C schemes. This knowledge will demonstrate your expertise and readiness to tackle compliance challenges.
✨Showcase Leadership Experience
Prepare examples of how you've successfully led compliance teams or initiatives in the past. Highlight your ability to influence and drive change, as this role requires strong leadership skills.
✨Prepare for Scenario-Based Questions
Anticipate questions that may ask you to solve hypothetical compliance issues or assess risk. Practising these scenarios will help you articulate your thought process and decision-making skills effectively.
✨Emphasise Relationship-Building Skills
Be ready to discuss how you've built relationships with stakeholders in previous roles. This is crucial for a Compliance and Supervision Manager, as you'll need to liaise with various internal and external parties.
