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- Tasks: Lead compliance initiatives and ensure adherence to FCA regulations in a dynamic financial firm.
- Company: A leading chartered financial planning firm in the heart of the City.
- Benefits: Competitive salary, excellent benefits package, and opportunities for career progression.
- Why this job: Shape the future of compliance while making a real impact in the financial services sector.
- Qualifications: Experience in compliance within wealth management and strong knowledge of FCA rules required.
- Other info: Ideal for those looking to step into management or advance their existing career.
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 & Quality Compliance 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 & Quality Compliance 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 and show that you’re the go-to person for regulatory matters!
✨Tip Number 3
Don’t just apply anywhere; focus on firms that align with your values and career goals. Check out our website for tailored opportunities that fit your experience in wealth management and compliance. We’ve got your back!
✨Tip Number 4
Follow up after interviews! A quick thank-you email can set you apart from other candidates. It shows your enthusiasm for the role and keeps you fresh in their minds as they make their decision.
We think you need these skills to ace Director, Regulatory & Quality Compliance 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 in wealth management and any relevant qualifications, like the Level 4 Diploma in Financial Planning. We want to see how your background aligns with the job description!
Showcase Your Skills: In your cover letter, showcase your skills in developing compliance policies and conducting risk assessments. Use specific examples from your past roles to demonstrate how you've successfully managed regulatory risks. This will help us see your potential impact on our team.
Be Clear and Concise: When writing your application, be clear and concise. Avoid jargon and keep your language straightforward. We appreciate a well-structured application that gets straight to the point, making it easy for us to see your qualifications.
Apply Through Our Website: Don’t forget to apply through our website! It’s the best way for us to receive your application and ensures you’re considered for the role. Plus, it shows us you’re keen on joining our team at StudySmarter!
How to prepare for a job interview at Switch Recruitment Services Ltd
✨Know Your Regulations
Make sure you brush up on the FCA rules and regulations before your 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 in compliance management.
✨Demonstrate Leadership Skills
Since this role involves managerial responsibilities, be ready to discuss your leadership style. Think about times when you've trained staff or led a project, and how you built relationships with colleagues and senior management. This will help them see you as a potential leader in their team.
✨Ask Insightful Questions
Prepare thoughtful questions about the company’s compliance culture and future challenges they foresee in regulatory compliance. This shows your genuine interest in the role and helps you assess if the company aligns with your career goals.