Find a job 
Featured Companies 
Featured Universities 
For Companies At a Glance
- Tasks: Join our Compliance team to oversee onboarding of acquired firms and ensure regulatory compliance.
- Company: We're a growing wealth management firm focused on delivering exceptional service and compliance.
- Benefits: Enjoy a collaborative work environment with opportunities for professional growth and development.
- Why this job: Be part of a dynamic team making a real impact in the financial sector while enhancing your skills.
- Qualifications: Must have a Regulated Diploma in Financial Planning (Level 4) and 3 years of compliance experience.
- Other info: This role offers a chance to work closely with various departments and enhance your compliance expertise.
The predicted salary is between 36000 - 60000 £ per year.
Our client, a growing wealth management firm, are looking for a Compliance Officer to join their growing Compliance team. You will assist in overseeing and coordinating the onboarding of acquired firms into the company from a regulatory point of view. Key Responsibilities : Oversight of compliance workstreams to ensure a smooth onboarding Liaising with vendors to ensure that ongoing compliance responsibilities are maintained or transferred during the acquisition period. Working collaboratively with other departments within the company to aid the effective onboarding of new firms to the group. Management Information reporting and escalation of key risks and issues to the project management team. Liaising with regional directors and project management teams to ensure compliance onboarding activities are scheduled at the right time and with minimal disturbance to vendors. Tracking progress of FCA Change in Control and de-authorisation applications and supporting the Compliance Director in drafting those applications. Coordinating the staff onboarding training plan to ensure that training and file checking is completed in sufficient time ahead of the completion date. Ensuring that areas of improvement highlighted in due diligence are factored into the training plan and validating that those improvements have been achieved ahead of completion. Overseeing PI renewals, ensuring that PI policies are maintained. Where relevant, drafting PI proposal forms on behalf of vendors. Completion of RegData returns, ensuring that returns are submitted on time and, where relevant, drafting returns for submission to the FCA. Drafting of procedures and working to ensure that roles and responsibilities are coordinated across the regulatory function. Experience Required: Achieved the Regulated Diploma in Financial Planning (Level 4) or equivalent. Minimum 3 years’ experience in a Compliance role within an IFA firm
Compliance Officer employer: Clayton Davies
Contact Detail:
Clayton Davies Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Officer
✨Tip Number 1
Familiarize yourself with the specific compliance regulations and frameworks relevant to wealth management. Understanding the nuances of FCA regulations will give you an edge in discussions during the interview.
✨Tip Number 2
Network with professionals in the compliance field, especially those who have experience in IFA firms. They can provide insights into the role and may even refer you to opportunities within their organizations.
✨Tip Number 3
Prepare to discuss your experience with onboarding processes and how you've managed compliance responsibilities in previous roles. Be ready to share specific examples that demonstrate your ability to handle complex compliance issues.
✨Tip Number 4
Stay updated on recent changes in financial regulations and compliance best practices. Showing that you are proactive about your professional development can set you apart from other candidates.
We think you need these skills to ace Compliance Officer
Some tips for your application 🫡
Understand the Role: Take the time to thoroughly understand the responsibilities of a Compliance Officer in a wealth management firm. Highlight your relevant experience and how it aligns with the key responsibilities mentioned in the job description.
Tailor Your CV: Customize your CV to emphasize your compliance experience, particularly within IFA firms. Include specific examples of your work in onboarding processes, regulatory compliance, and any relevant training you have conducted.
Craft a Strong Cover Letter: Write a compelling cover letter that showcases your passion for compliance and your understanding of the regulatory landscape. Mention your Regulated Diploma in Financial Planning and how your skills can contribute to the firm's success.
Highlight Key Achievements: In both your CV and cover letter, make sure to highlight key achievements in your previous roles, such as successful onboarding projects, improvements made in compliance processes, or any significant contributions to risk management.
How to prepare for a job interview at Clayton Davies
✨Know Your Compliance Regulations
Make sure you are well-versed in the relevant compliance regulations, especially those related to wealth management and financial planning. Being able to discuss specific regulations and how they apply to the onboarding process will demonstrate your expertise.
✨Showcase Your Experience
Prepare to discuss your previous experience in compliance roles, particularly within IFA firms. Highlight specific projects or challenges you've faced and how you successfully navigated them, as this will show your practical knowledge and problem-solving skills.
✨Collaborative Mindset
Since the role involves working with various departments, emphasize your ability to collaborate effectively. Share examples of how you've worked with different teams to achieve compliance goals, ensuring a smooth onboarding process for new firms.
✨Prepare for Scenario Questions
Anticipate scenario-based questions that may assess your decision-making and risk management skills. Think about potential compliance issues that could arise during the onboarding of new firms and how you would address them.
