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- Tasks: Lead Compliance operations for a start-up WealthTech, ensuring advice aligns with FCA regulations.
- Company: Exciting start-up backed by a successful investment management firm.
- Benefits: Flexible hybrid working model and autonomy in shaping compliance strategies.
- Other info: Opportunity to influence senior management and drive positive customer outcomes.
- Why this job: Make a real impact in modernising wealth management with cutting-edge technology.
- Qualifications: Experienced Compliance professional with knowledge of Financial Advice regulations.
The predicted salary is between 36000 - 60000 £ per year.
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.
Senior Compliance Manager – Financial Advice employer: Willow Resourcing
Contact Detail:
Willow Resourcing Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Senior Compliance Manager – Financial Advice
✨Tip Number 1
Network like a pro! Reach out to your connections in the Wealth Management sector and let them know you're on the lookout for opportunities. A friendly chat can lead to insider info or even a referral that could land you an interview.
✨Tip Number 2
Prepare for those interviews by brushing up on your knowledge of FCA regulations and compliance frameworks. We want you to be the go-to expert in the room, so practice articulating how your experience aligns with the role's requirements.
✨Tip Number 3
Don’t underestimate the power of follow-ups! After an interview, drop a quick thank-you email to express your appreciation and reiterate your enthusiasm for the role. It keeps you fresh in their minds and shows your professionalism.
✨Tip Number 4
Apply through our website! It’s the best way to ensure your application gets seen. Plus, it shows you’re genuinely interested in being part of our exciting new venture in WealthTech. Let’s make it happen!
We think you need these skills to ace Senior Compliance Manager – Financial Advice
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 Financial Advice and how you can contribute to our start-up WealthTech. Keep it engaging and relevant to the job description.
Showcase Your Leadership Skills: Since this role involves leading Compliance operations, make sure to highlight any leadership experiences you've had. We want to know how you've influenced senior management teams and shaped compliance strategies in your previous roles.
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!
How to prepare for a job interview at Willow Resourcing
✨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
Prepare examples of how you've led compliance initiatives in the past. Highlight your experience in influencing senior management teams and how you’ve shaped compliance operations to ensure positive customer outcomes.
✨Understand the Business Model
Familiarise yourself with the start-up WealthTech landscape and how it integrates with traditional investment management. This knowledge will help you articulate how you can contribute to modernising wealth management through compliance.
✨Ask Insightful Questions
Prepare thoughtful questions about the company’s approach to compliance and how they plan to navigate regulatory changes. This shows your genuine interest in the role and helps you assess if the company aligns with your values.