Find a job 
Featured Companies 
Featured Universities 
For Companies At a Glance
- Tasks: Lead compliance initiatives and manage regulatory risks in a dynamic financial planning firm.
- Company: A leading chartered financial planning firm in the City with a focus on growth.
- Benefits: Competitive salary, excellent benefits package, and opportunities for career progression.
- Why this job: Shape the future of compliance while working with experienced professionals in a supportive environment.
- Qualifications: Experience in compliance within financial services and strong knowledge of FCA regulations.
- Other info: Ideal for those looking to step into management or advance their career in compliance.
The predicted salary is between 36000 - 60000 £ per year.
We are pleased to be recruiting on behalf of a leading chartered financial planning firm in the City seeking to further expand their compliance team with the appointment of a Compliance Manager to help shape the next stage of their growth, ideal for someone either moving into their first managerial role, or someone from an existing one.
Candidates will be responsible for:
- Development, implementation, and ongoing maintaining of compliance policies, procedures and controls to manage regulatory risk.
- Ensure team compliance with FCA rules and regulations.
- Acting as the main contact for the regulator and managing all submissions, reporting, and inspections.
- Conduct file reviews, risk assessments, audits etc and provide guidance and training to staff where needed.
- Work with colleagues to design and deliver compliance training, documentation and marketing materials.
Experience required:
- Demonstrable compliance experience within wealth management and broader financial services.
- Strong knowledge of regulatory frameworks and FCA rules.
- Proven experience in risk assessments, compliance monitoring, training etc.
- Previous management or supervisory experience as well as an ability to build effective relationships with senior management and colleagues.
- Ideally candidates will be qualified to Level 4 Diploma in Financial Planning and hold relevant compliance, legal, or risk qualification (e.g. ICA, CISI, or equivalent), desirable.
In return our client is offering a competitive basic salary and an excellent benefits package as well as plenty of scope for development and progression within this expanding organisation.
Director, Regulatory Affairs & Quality in London employer: Switch Recruitment Services Ltd
Contact Detail:
Switch Recruitment Services Ltd Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Director, Regulatory Affairs & Quality in London
✨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 openings or can put in a good word for you.
✨Tip Number 2
Prepare for interviews by brushing up on FCA rules and regulations. Make sure you can discuss how you've implemented compliance policies in the past. We want to see you shine as the go-to person for regulatory matters!
✨Tip Number 3
Showcase your training skills! Be ready to talk about how you've developed and delivered compliance training before. This is key for the role, so highlight any successful programmes you've led that improved team compliance.
✨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 proactive and engaged with our platform.
We think you need these skills to ace Director, Regulatory Affairs & Quality in London
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the role of Compliance Manager. Highlight your compliance experience, especially in wealth management and financial services, and don’t forget to mention any relevant qualifications like the Level 4 Diploma in Financial Planning.
Showcase Your Skills: In your cover letter, showcase your skills in developing and implementing compliance policies. Talk about your experience with FCA rules and how you've managed regulatory risks in the past. We want to see how you can contribute to our team!
Be Specific About Your Experience: When discussing your previous roles, be specific about your responsibilities and achievements. Mention any audits, risk assessments, or training sessions you've conducted. This will help us understand your hands-on experience in compliance.
Apply Through Our Website: We encourage you to apply through our website for a smoother application process. It’s the best way for us to receive your application and keep track of it. Plus, it shows you’re keen on joining our team!
How to prepare for a job interview at Switch Recruitment Services Ltd
✨Know Your Regulations
Make sure you brush up on FCA rules and regulations before the interview. Being able to discuss specific compliance policies and how they apply to the role will show that you're not just familiar with the basics, but that you’re ready to dive into the nitty-gritty.
✨Showcase Your Experience
Prepare to share concrete examples from your past roles where you've successfully managed compliance risks or led a team. Use the STAR method (Situation, Task, Action, Result) to structure your answers and highlight your achievements.
✨Demonstrate Leadership Skills
Since this role involves management, be ready to talk about your leadership style. Think of instances where you've trained staff or improved team performance. This will help illustrate your ability to build effective relationships with colleagues and senior management.
✨Ask Insightful Questions
Prepare thoughtful questions about the company’s compliance culture and future challenges. This shows your genuine interest in the role and helps you assess if the company aligns with your career goals. Plus, it gives you a chance to engage in a meaningful conversation.