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- Tasks: Lead Compliance operations for a start-up WealthTech, ensuring FCA regulations are met.
- Company: Exciting new venture backed by a successful investment manager.
- Benefits: Competitive salary, bonus, and flexible hybrid working model.
- Why this job: Shape the future of financial advice with cutting-edge technology and make a real impact.
- Qualifications: Experienced Compliance professional with knowledge of Financial Advice regulations.
- Other info: Opportunity to influence senior management and drive positive customer outcomes.
The predicted salary is between 68000 - 102000 £ per year.
Location: London (Hybrid – 2 days office, 3 days WFH per week)
Salary: To c£85k + bonus
What’s in it for you?
- The chance to lead and shape Compliance operations for a start-up WealthTech.
- This is a new venture for a well-established and highly successful investment manager, so you’ll get all the excitement and opportunity of working for a start-up with the security of being part of an established group.
- Reporting into the Group Head of Compliance (SMF16), you’ll have plenty of autonomy to really shape Compliance Advice and Oversight for the Financial Advice arm that’ll be combining cutting-edge digital technology with personal financial advice to modernise wealth management.
- And there’s a flexible working model with just 2 days a week in the firm’s London office.
What you’ll be doing
- You’ll lead and shape Compliance for the Financial Advice arm of the business, ensuring advice is given in line with relevant FCA regulations and helping ensure positive customer outcomes.
- You’ll provide independent guidance and challenge at all levels across the business, operating as the Compliance subject matter expert for Financial Advice.
- You’ll undertake horizon scanning, advising senior management on any regulatory changes impacting the business as well as designing and implementing appropriate responses.
What you’ll need
- You’ll be an experienced Compliance professional from the Wealth Management arena, with proven experience of providing oversight of Financial Advice.
- You’ll be very familiar with the regulatory requirements impacting a Financial Advice business, including COBS, PROD and Consumer Duty.
- You’ll also have a proven track record of working closely with and influencing senior management teams.
Interested? Click apply.
Senior Compliance Manager - Financial Advice in Slough employer: Willow Resourcing Limited
Contact Detail:
Willow Resourcing Limited Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Senior Compliance Manager - Financial Advice in Slough
✨Tip Number 1
Network like a pro! Reach out to your connections in the WealthTech and Compliance sectors. Attend industry events or webinars, and don’t be shy about introducing yourself. You never know who might have the inside scoop on job openings!
✨Tip Number 2
Prepare for those interviews by brushing up on your knowledge of FCA regulations and the latest trends in Financial Advice. We recommend creating a cheat sheet of key points to discuss, so you can impress the hiring managers with your expertise.
✨Tip Number 3
Showcase your leadership skills! When chatting with potential employers, highlight your experience in shaping Compliance operations. Use specific examples of how you've influenced senior management teams and improved customer outcomes in previous roles.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, if you have any questions, feel free to reach out to Mark for an informal chat – he’s here to help us land that dream job!
We think you need these skills to ace Senior Compliance Manager - Financial Advice in Slough
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Senior Compliance Manager role. Highlight your experience in Wealth Management and any specific regulatory knowledge you have, like COBS or PROD. We want to see how your background aligns with what we're looking for!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're passionate about compliance in the Financial Advice sector. Share specific examples of how you've influenced senior management teams in the past – we love a good story!
Showcase Your Autonomy: Since this role offers plenty of autonomy, make sure to highlight instances where you've taken the lead on compliance projects. We want to know how you've shaped compliance operations in previous roles and how you can bring that expertise to us.
Apply Through Our Website: We encourage you to apply through our website for a smoother process. It helps us keep track of applications better and ensures you don’t miss out on any important updates. Plus, it’s super easy – just a few clicks and you’re done!
How to prepare for a job interview at Willow Resourcing Limited
✨Know Your Regulations
Make sure you brush up on the key regulatory requirements like COBS, PROD, and Consumer Duty. Being able to discuss these confidently will show that you're not just familiar with the rules but can also apply them in a practical context.
✨Showcase Your Leadership Skills
As a Senior Compliance Manager, you'll need to demonstrate your ability to lead and influence. Prepare examples of how you've successfully guided teams or influenced senior management in previous roles. This will highlight your capability to shape compliance operations effectively.
✨Understand the Business Model
Familiarise yourself with the WealthTech landscape and how it integrates with financial advice. Being able to discuss how digital technology can enhance compliance processes will set you apart as a candidate who understands the business's unique challenges and opportunities.
✨Prepare for Scenario Questions
Expect questions that ask how you would handle specific compliance scenarios. Think through potential challenges the company might face and prepare your responses. This will demonstrate your proactive approach and problem-solving skills in real-world situations.