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For Companies At a Glance
- Tasks: Review investment and pension cases, providing feedback to partners and paraplanners.
- Company: Join a growing company focused on compliance and exceptional client service.
- Benefits: Enjoy hybrid working with 2 days in the office and opportunities for professional development.
- Why this job: Be part of a supportive team that values integrity and high-quality service.
- Qualifications: A positive attitude, strong communication skills, and attention to detail are essential.
- Other info: This role offers a chance to make a real impact in financial advice compliance.
The predicted salary is between 39000 - 52000 £ per year.
Due to our clients continued expansion, they are looking to take on a new Compliance Technical Executive in their Weybridge office. You will form part of the Compliance Team and work closely with the Pre-Approval Team, liaising with partner and paraplanners on all matters regarding pre or post sale file reviews. This will be a hybrid working role based in Weybridge (2 days in office).
Main Responsibilities:
- Undertake the review of investment and pension cases requiring pre-sale approval with a view to clear and prompt feedback to Partners and paraplanners.
- Undertake reviews of past business cases as part of a formal past business review, if requested.
- Maintain accurate and consistent records, enhancing them as requested, of pre-sale approval cases, and past business reviews.
- To participate in appropriate company and departmental training, competence and development initiatives.
- To continuously meet the regulator’s Fit & Proper requirements.
- In line with the Company's service excellence programme, they will be expected to provide exceptional client service at all times. They will be required to keep up to date with all relevant organisational training and best practice to enable this standard to be met.
Key skills and personal attributes:
- A positive, friendly service-orientated person with a “can do” attitude who is aware of the important role played by advisers and their staff in providing financial advice.
- An articulate communicator.
- Honesty, integrity and ability to maintain confidentiality.
- Hard working and responsive to the need to deliver a high quality support service.
- Attention to detail and high standards of work.
- Excellent organisation and prioritisation skills.
Contact Detail:
Artemis Recruitment Consultants Ltd Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Technical Executive - Weybridge
✨Tip Number 1
Familiarise yourself with the latest compliance regulations and best practices in the financial sector. This knowledge will not only help you during interviews but also demonstrate your commitment to staying updated in a rapidly changing environment.
✨Tip Number 2
Network with professionals in the compliance field, especially those who work in similar roles. Attend industry events or join relevant online forums to build connections that could lead to valuable insights or referrals.
✨Tip Number 3
Prepare to discuss specific examples of how you've maintained high standards of work and attention to detail in previous roles. Being able to articulate these experiences will showcase your suitability for the Compliance Technical Executive position.
✨Tip Number 4
Research the company culture and values of the organisation you're applying to. Tailoring your approach to align with their ethos can significantly enhance your chances of making a positive impression during the interview process.
We think you need these skills to ace Compliance Technical Executive - Weybridge
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience and skills that align with the responsibilities of a Compliance Technical Executive. Emphasise your attention to detail, communication skills, and any previous compliance-related roles.
Craft a Strong Cover Letter: Write a cover letter that showcases your understanding of the role and the company. Mention specific examples of how your past experiences have prepared you for the tasks outlined in the job description, such as reviewing investment cases or maintaining accurate records.
Highlight Key Skills: In your application, clearly outline your key skills that match the job requirements, such as organisation, prioritisation, and a service-oriented attitude. Use bullet points for clarity and impact.
Proofread Your Application: Before submitting, carefully proofread your application for any spelling or grammatical errors. A polished application reflects your attention to detail and professionalism, which are crucial for this role.
How to prepare for a job interview at Artemis Recruitment Consultants Ltd
✨Showcase Your Compliance Knowledge
Make sure to brush up on the latest compliance regulations and best practices relevant to the financial sector. Demonstrating your understanding of these topics will show that you're serious about the role and can contribute effectively from day one.
✨Emphasise Attention to Detail
Given the nature of the Compliance Technical Executive role, it's crucial to highlight your attention to detail. Prepare examples from your past experiences where your meticulousness led to successful outcomes, especially in reviewing investment or pension cases.
✨Demonstrate Strong Communication Skills
As you'll be liaising with partners and paraplanners, effective communication is key. Practice articulating your thoughts clearly and concisely, and be ready to discuss how you've successfully communicated complex information in previous roles.
✨Prepare for Scenario-Based Questions
Expect questions that assess your problem-solving abilities in real-world scenarios. Think of situations where you had to navigate compliance challenges or provide exceptional client service, and be prepared to discuss your thought process and actions taken.
