At a Glance
- Tasks: Lead compliance initiatives and provide expert advice in a dynamic wealth management environment.
- Company: Join a rapidly growing wealth management firm with a supportive culture.
- Benefits: Flexible hybrid working model, great exposure, and potential for career advancement.
- Other info: Opportunity to work closely with senior management and develop your career.
- Why this job: Be the future leader in compliance and make a real impact in the industry.
- Qualifications: Experience in compliance within wealth management and strong communication skills.
The predicted salary is between 60000 - 75000 £ per year.
- Compliance Manager (Wealth Management) Financial Planning & Advice
- Gloucester (Hybrid – 2 days a week in the office)
The chance to join a rapidly growing wealth management firm. You’ll be busy, the role will be interesting and challenging, and you’ll get some great business exposure.
You’ll also be the natural successor to the Head of Compliance, so there’s real potential that this will lead to an SMF16 & 17 role.
There’s also a very flexible working model, with only 2 days a week in the office, the other 3 days spent working from home.
They want their people to enjoy working there and this is clear whenever you engage with anyone in the business.
Reporting into the Head of Compliance, (SMF16 & 17) and managing one direct report, you’ll be responsible for providing expert advice on Compliance issues together with sound commercial judgement.
You’ll create, evolve and implement an appropriate monitoring regime across all business entities (a couple of directly regulated firms and several ARs) to ensure Compliance standards are maintained and timely remedial actions are taken when required.
You'll provide regular risk-based reporting on all controlled functions to the Head of Compliance and manage the delivery of required compliance training and testing programs for employees across the group, including the creation of training materials tailored to diverse business areas.
In addition, you'll be responsible for the timely and accurate submission of regulatory information and notifications to the FCA, and the completion of relevant regulatory returns.
You'll also act as DMLRO for all regulated firms and act as the first line reviewer for alerts raised by the AML system, escalating cases as appropriate.
You'll be an experienced compliance specialist with extensive wealth management exposure and will ideally be qualified to at least Level Four diploma, although exceptional candidates either working towards this qualification or with wider compliance qualifications will also be considered.
You’ll have a good understanding of the regulatory environment impacting wealth management firms, including COBS, DISP, COLL and Consumer Duty.
Superior communication and stakeholder management skills are essential for this role.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Manager - Business & Regulatory in Gloucester
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like Willow Resourcing Limited looking for candidates who are engaged and informed.
We think you need these skills to ace Compliance Manager - Business & Regulatory in Gloucester
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at Willow Resourcing Limited. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at Willow Resourcing Limited
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with Willow Resourcing Limited’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
